Order of the Minister of national economy of the Republic of Kazakhstan "About approval of Rules of forming of rates"

ORDER OF THE MINISTER OF NATIONAL ECONOMY OF THE REPUBLIC OF KAZAKHSTAN

of November 19, 2019 No. 90

About approval of Rules of forming of rates

(as amended on 30-06-2023)

According to the subitem 5) article 8 of the Law of the Republic of Kazakhstan "About natural monopolies" and the subitem 2) Item 3 of article 16 of the Law of the Republic of Kazakhstan "About the state statistics" PRIKAZYVAYU:

1. Approve the enclosed Rules of forming of rates.

2. To provide to committee on regulation of natural monopolies of the Ministry of national economy of the Republic of Kazakhstan in the procedure established by the legislation of the Republic of Kazakhstan:

1) state registration of this order in the Ministry of Justice of the Republic of Kazakhstan;

2) placement of this order on Internet resource of the Ministry of national economy of the Republic of Kazakhstan;

3) within ten working days after state registration of this order in the Ministry of Justice of the Republic of Kazakhstan submission to Legal department of the Ministry of national economy of the Republic of Kazakhstan of data on execution of the actions provided by subitems 1) and 2) of this Item.

3. To impose control of execution of this order on the kuriruyeshchy vice-minister of national economy of the Republic of Kazakhstan.

4. This order becomes effective after ten calendar days after day of its first official publication.

Minister

R. Dalenov

It is approved

Ministry of the industry and infrastructure development of the Republic of Kazakhstan

It is approved

Department of Energy of the Republic of Kazakhstan

It is approved

Ministry of ecology, geology and natural resources of the Republic of Kazakhstan

Approved by the Order of the Minister of national economy of the Republic of Kazakhstan of November 19, 2019 No. 90

Rules of forming of rates

Chapter 1. General provisions

1. These rules of forming of rates (further – Rules) are developed according to the subitem 5) of article 8 of the Law of the Republic of Kazakhstan "About natural monopolies" (further – the Law) and determine:

1) the mechanism of calculation of rate taking into account methods of tariff regulation of spheres of natural monopolies;

2) rules of approval of the temporary compensating rate;

3) rules of differentiation of rate;

4) rules of approval of rate in the simplified procedure;

5) rules of approval of investing program and its change;

6) rules of determination of rate based on the signed agreement of public-private partnership, including the agreement of concession;

7) rules of approval of temporary decreasing coefficient;

8) rules of conducting separate accounting of the income, costs and the involved assets by each type of regulated services and in general on the activities which are not relating to regulated services;

9) rules of recalculation of cost of regulated service in supply with heat energy taking into account the actual temperature of outside air;

10) rules of determination of admissible profit level of the subject of natural monopoly;

11) rules of change of the rate approved by authorized body before the expiration of its effective period;

12) the list of the costs considered and not considered in rate rules of restriction of the sizes of the costs considered in rate;

13) rules of indexation of rate;

14) forms of projects of rate, the tariff estimate, investing program, performance reports of the approved tariff estimate, of execution of the approved investing program according to appendix 1 to these rules;

15) the mechanism of calculation of price limits on regulated services of the high-level railway networks and their annual adjustments;

16) rules of application of price limits on regulated services of the high-level railway networks;

17) rules of calculation and application of forecast index of rate.

2. These rules extend to subjects of natural monopolies (further - the subject), except for the subjects providing regulated services in spheres of air navigation, the airports on provision in property employment (lease) or use of the cable sewerage.

3. In these rules the following basic concepts are used:

1) the absorbed production costs - set of total production costs on regulated services; in the field of services of the high-level railway networks - set of total production costs of the centers of responsibility of the first level, necessary for provision of services of one type of activity;

2) coefficient of involvement of assets - the indicator in percentage expression characterizing the actual use (involvement) of fixed assets of the subject in case of the production and provision of services referred to the sphere of natural monopoly from their technology capacity;

3) index of change of quantity of assets - index of change of annual average quantity of assets which is applied in case of establishment of rates for the purpose of accounting of dependence of controlled costs on annual average quantity of the assets necessary for implementation of regulated types of activity by subjects;

4) the subject created for the first time - the individual entrepreneur or the legal entity who is providing or going to provide to consumers regulated services;

5) residual cost of the invested capital invested prior to the beginning of the first regulated period - the cost of the invested capital established by department of authorized body for the beginning of the first regulated period for subjects;

6) restriction of types and the sizes of the costs considered in rate, taking into account their economic justification - establishment of limit of the cost level, considered in rate based on calculations of requirement of raw materials, materials, fuel, energy, and also level of the normative technical losses made on the basis of the standard regulations and standard rates existing in the corresponding industry (sphere) (in case of their availability);

7) inappropriate use of means of the depreciation charges - the direction of the means provided in the approved rate and (or) the approved tariff estimate due to the depreciation charges on the purposes which are not connected with capital investments in the fixed assets used in provision of regulated service and return of principal debt on the attracted credit resources;

8) the channel - the artificial hydraulic engineering construction used for water resources management, water supply to water users, water supply.

9) territorial authority - the territorial authority of department of authorized body exercising regulation and control of activities of the subjects included in the local Section of the State register of subjects within the competence;

10) basic level of controlled costs - the level of controlled costs used by the subject for planning of expenses on the regulated period of regulation;

11) ballast waters - the sea waters used for loading of the bunker of the vessel for ensuring the vessel draft, safe for navigation;

12) general cargoes - any tare and piece load, transported on ocean ships by combined batches;

13) change of the approved investing program - inclusion, exception of actions, adjustment of the amounts (cost) and amounts of actions, postponement of execution of actions;

14) the accounting period of action of the approved rate and the tariff estimate and investing program - period of time on which are approved rate, the tariff estimate and investing program;

15) the boiler peak - the heat exchanger of superficial type for heating of network water vapor of pressure over kg/cm2 2,5 (further - PB);

16) business process - Articles of calculation of production costs on elements of cost items;

17) allocation base - the quantitative index (indicators) used for cost allocation and degree of involvement of assets on types of service;

18) distribution coefficient - the share of indirect, joint or total costs or assets received as a result of application of allocation base for cost allocation and assets between services for the subjects performing the combined development of heat and electrical energy - fuel consumption relation on production of electrical energy to general fuel consumption of the combined production;

19) separate accounting - system of collection and generalization of cost information, the income, the involved assets and production indicators separately on types of activity, services, transactions of the subject, for the purpose of the analysis of cost of regulated types of activity, the tariff estimate and calculation of rates for services;

20) gross registered tonnage - the size, the characterizing capacity (amount) of the vessel;

21) paropreobrazovatelny installation - the heat exchanger for receipt of vapor of corresponding parameters due to heat of vapor of higher parameters;

22) joint costs - costs which are used for provision of several services (group of services), but have no certain cause and effect relationship with these services therefore are distributed on the basis of allocation bases;

23) jointly the involved assets - the involved assets which are used for provision of several services (group of services), but have no certain cause and effect relationship with these services, but degree of their involvement in provision of services is determined on the basis of allocation bases;

24) the center of responsibility of the first level - the center of responsibility which is directly engaged in production, performance of works and provision of services for consumers;

25) original cost of the invested capital invested after the beginning of the first regulated period - capital cost, the beginning of the first regulated period invested later which represents original book value of the fixed assets and other assets considered in base of the invested capital and is used for the purposes of determination of size of return of the invested capital by subjects;

26) residual cost of the invested capital invested prior to the beginning of the first regulated period - the cost of the invested capital established by department of authorized body for the beginning of the first regulated period for subjects;

27) settlement period - period of time for which the consumed heat energy is considered and shown for payment to the consumer;

28) general assets - assets which are connected with provision of all types of service, but have no certain cause and effect relationship with these services therefore degree of their involvement in provision of services is determined on the basis of allocation bases;

29) total costs - costs which are connected with provision of all types of service, but have no certain cause and effect relationship with these services therefore are distributed on the basis of allocation bases;

30) indirect transactions - the transactions which are carried out for implementation of several main transactions included in cost of the provided services of types of activity;

31) the center of responsibility - independent structural division of the subject. The centers of responsibility are grouped in industry and geographical areas and the organizational levels of the subject;

32) individual H-factor - the performance indicator of activities of the subject characterizing the relation of expenses of the subject on provision of regulated service to the minimum expenses on provision of regulated service in case of identical or worst structural parameters;

33) leave in network - the amount of the released electrical energy all power making organizations in network of the power transferring organizations and the consumed imported electrical energy;

34) technical scheduling of leave in network and to consumption of electrical energy - the service provided by the system operator on implementation of centralized supervisory control of the modes of production and consumption of electrical energy in single electric utility system of the Republic of Kazakhstan;

35) the system operator - the national company exercising centralized supervisory control, ensuring parallel work with power supply systems of other states, maintenance of balance in power supply system, rendering system services and acquisition of support services at subjects of the wholesale market of electrical energy and also transfer of electrical energy on national power grid, its maintenance and maintenance in operational readiness;

36) cargo turnover (freight cars turnover) - amount of ensuring regulated services of the high-level railway system with transportation work on cargo delivery (passengers) taking into account haulage distance for certain period;

37) cargo turnover (passenger turnover) - amount of the performed transportation work on cargo delivery (passengers) taking into account haulage distance;

38) consignment - the certain quantity of load occupying part of stowage spaces of the vessel, accepted for shipment according to one document and the following in one destination;

39) transfer of loads - movement of load from one mode of transport on another through warehouses of port or is direct from one vehicle on another (from rail cars, river crafts, road transport on the ocean ship and vice versa);

40) thermal loading - the amount of heat energy accepted by the heatconsuming installation for unit of time;

41) regulated service in supply with heat energy - the service in sale to consumers of the made and (or) purchased heat energy rendered by subjects according to the signed agreements;

42) point of accounting of expense of heat energy - point of the scheme of heat supply in which by means of the device of commercial accounting or calculation method, in case of its absence, the expense of heat energy is determined;

43) settlement regulation of consumption of heat energy on heating - consumption regulation for the heating period of heat energy on heating of Gcal/m 2, calculated and approved by local executive bodies of areas, cities of republican value, the capital, in coordination with department of authorized body according to the Standard rules of calculation of regulations of consumption of residential energy services and to heat supply for the consumers who do not have metering devices approved by the order of the Minister of national economy of the Republic of Kazakhstan of January 13, 2015 No. 15 (it is registered in the Register of state registration of regulatory legal acts for No. 10313) (further - Standard rules);

44) base of the invested capital - the size of the invested capital determined by department of authorized body for the corresponding year of the regulated period on the basis of which income size on the invested capital in case of establishment of rates is determined;

45) the income on the invested capital - the size used for calculation of rate and included in necessary gross revenue of the regulated organization which is determined as rate of return on the invested capital multiplied on the cost of the invested capital;

46) return of the invested capital - the size used for calculation of rate and included in necessary gross revenue of the regulated organization which is determined as the cost of the invested capital divided into the term of return of the invested capital;

47) the term of return of the invested capital - the term during which the capital invested in creation of the assets put into operation will be in full returned to the subject;

48) the invested capital - the fixed assets and intangible assets of the subject financed both at the expense of its own and at the expense of borrowed funds, necessary for implementation of regulated activities during the regulated period;

49) investing program - the actions plan on attachment and return of the funds allocated for expansion, upgrade, reconstruction, updating, maintenance of the existing assets and creation of new assets of the subject for the purpose of receipt of the technical and economic and (or) ecological effects expressed in achievement of target indicators of investing program or preserving indicators of activities of the subject at the existing level;

50) forecast values of inflation - the values of inflation established by National Bank of the Republic of Kazakhstan for late date of the corresponding calendar year. In case of establishment of the upper and lower rate of inflation, average value of the range of levels of inflations is used;

51) indexation method - forming of rate by annual indexation of the approved rate by the subject of low power;

52) capital investment is the funds allocated for expansion, upgrade, reconstruction, updating, maintenance of the existing assets and creation of new assets, acquisition of the fixed assets used by provision of regulated services;

53) capital cost - the size characterizing remuneration rate on borrowed and own funds, reflecting the investment risks connected with implementation of the activities referred to the sphere of natural monopoly;

54) the condenser - the heat exchanger, serves for condensation of the fulfilled vapor in the turbine;

55) the actual amount of consumption of service - amount of consumption of service by the consumer for the period previous year, similar to the declared period;

56) the declared service consumption amount - the service consumption amount specified in the request of the consumer or subject for approval of temporary decreasing coefficient;

57) the loan capital - the capital formed at the expense of loans (receipt of the credits, release and sale of bonds, receipt of means by other types of monetary commitments) for creation or reconstruction of object of public-private partnership, including subject to concession;

58) the subconsumer - the consumer, thermal networks and (or) the heatconsuming installations of which are attached to thermal networks of the consumer;

59) the added expenses - the expenses including total and administrative expenses of the centers of responsibility of regional, network and corporate levels and the centers of responsibility of the first level of centralized supply, and also production costs of the centers of responsibility of the first level of centralized supply;

60) the subject of low power - the subject providing regulated services:

on production, transfer, distribution and (or) supply with heat energy from heating boiler rooms with general installed capacity to twenty Gigacalories in one hour (further - Gcal/h) inclusive;

water supply and (or) water disposal in amount to five hundred thousand cubic meters a year;

on water supply for irrigation in amount to thirty million cubic meters a year;

sidings in amount to fifty thousand the car/km, car/hour in year in the absence of competitive siding;

on transfer of electrical energy in amount to twenty five million kilowatt hour (further - kWh.) in year.

The subject on the provided regulated service, the income from which does not exceed five percent of the income from all regulated services of the subject in one calendar year, also concerns the subject of low power. At the same time on the remained regulated services the subject does not concern the subject of low power.

61) competent authority - state bodies in the field of power, rail transport, production, transportation (transportation), storage and wholesale of gas, and also retail sale and consumption of the commodity and liquefied oil gas, use and protection of water fund, water supply, water disposal, seaport or local executive bodies of areas, cities of republican value, the capital;

62) the combined production (development) - process of coproduction of the electrical and heat energy received from selections or the counter-pressure of steam turbines of combined heat and power plants;

63) structural parameters - the quantitative indices of the subject significantly influencing efficiency of activities and the subject's expenses, which list for the purpose of assessment of individual H-factors by regulated service;

64) the built-in bunch - the additional surface of heat exchange in condensers of large heating turbines for heating of network or make-up water;

65) activities - set of certain production processes of services which participate in provision of services as independently, and in interaction with each other;

66) activity elements - the groups of fixed assets used in case of provision of services, including regulated combined for assessment and distribution of their cost and the related costs for activities with subsequent distribution on types of regulated services and in general on non-regulated services;

67) the servicing processes - production processes of services of which servicing of production processes and processes of management is result;

68) type of activity - the operating activiies connected with provision of range of services, performance of works and production of goods with revenue generating purpose;

69) indirectly the involved assets on services - the involved assets which have causes and effect relationships along with several services (group of services) and therefore they not directly also are unambiguously carried to certain service, but degree of their involvement in provision of certain services is determined on the basis of the allocation bases reflecting these causes and effect relationships;

70) indirect costs on services - costs which have causes and effect relationships along with several services (group of services) and therefore they not directly also are unambiguously carried to certain service, but are distributed on services on the basis of the allocation bases reflecting origins of costs;

71) directly involved assets on services - the involved assets which have direct causes and effect relationships with provision of certain service and therefore directly and are unambiguously carried to certain service;

72) direct costs on services - costs which have direct causes and effect relationships with certain service and therefore directly and are unambiguously carried to certain service;

73) production processes of services - the sequence of certain actions in activities of the gas transmission and (or) gas-distributing organization with use of its resources with ultimate goal of provision of services. Differentiate the following groups of production processes of services: the production processes servicing processes and processes of management;

74) external users of services are users of external services of the gas transmission and (or) gas-distributing organization. External not end, external end, external other end users of services treat external users of services;

75) external not final consumers of services - other gas transmission and (or) gas-distributing organizations, and also the legal entities and physical persons enabling gas sale in the territory of the Republic of Kazakhstan;

76) external end users of services - the physical persons and legal entities which are consumers of gas in the territory of the Republic of Kazakhstan;

77) external other users of services are consumers of other services provided by the gas transmission and (or) gas-distributing organizations including services in transit and gas transportation for export;

78) rate of the London interbank market - offer rate in the London interbank market on six-months single currency deposits at cost for the first date of the period of charge of percent (or in case of initial stage of charge of percent on cost on interest payment date or in day of such period of charge of percent, or next day, preceding the first day of percentage charges) which is expressed as annual interest;

79) the bulk distribution line - the complex of hydraulic engineering constructions intended for water supply from water intake to distributors (to water supplies from the bulk distribution line and (or) the channel to groups of water users);

80) the declared freight cars turnover - the planned freight cars turnover specified in the request of the consumer and (or) concessionary for approval of temporary decreasing coefficient;

81) the declared cargo turnover (passenger turnover) - the planned cargo turnover (passenger turnover) specified in the request of the consumer and (or) concessionary for approval of temporary decreasing coefficient;

82) the declared period - the period specified in the request of the consumer or subject for approval of temporary decreasing coefficient;

83) management processes - the production processes of services including the analysis of activities of the company, coordination of the actions directed to increase in efficiency of activities of all company;

84) equity - the capital which is belonging to participants or the subject's shareholders, and consisting of certain number of shares or shares, giving to participants or the subject's shareholders the right to certain income, and also including accumulated retained earnings and the reserve capital which is in addition paid and in addition unpaid capital;

85) own means - money (the share (authorized) capital, retained earnings (net income) or the depreciation charges) of the subject of public-private partnership, including the subject of concession used in creation and reconstruction of object of public-private partnership, including subject to concession;

86) overdue accounts payable - the amount of financial liabilities, unexecuted at the scheduled time according to the agreement, money debts of the consumer before the subject;

87) physical ton - the total amount of the overloaded load irrespective of quantity of the overload options which passed it;

88) the boiler the main - the heat exchanger of superficial type for heating of network water vapor of pressure to 2,5 of kilograms per square centimeter (further - kg/cm 2) (further - OB);

89) the unreasonable income - the additional income gained by the subject as a result of exceeding of the rate approved by department of authorized body, and (or) inappropriate use of means of the depreciation charges provided by the tariff estimate, non-executions of cost items of the tariff estimate more than for five percent from the sizes approved by department of authorized body, non-execution or inappropriate use of the means provided in the tariff estimate on accomplishment of investing programs;

90) fixed asset objects - objects of buildings, constructions, machines and the equipment, the measuring and regulating devices and devices, computer facilities, vehicles, tools, production and economic stock and accessories; the intraeconomic roads and other corresponding fixed asset objects of the subject involved in regulated activities and included in base of the invested capital;

91) operating activiies - the main activities of the subject on income acquisition and other activities, excellent from investment and financial;

92) fuel share - the consumption of conditional fuel spent for production of any type of energy, couple or hot water, referred to total fuel consumption on combined heat and power plant;

93) the repayment schedule - the repayment schedule of overdue accounts payable of the consumer before the subject certified by signatures of the consumer and subject's head;

94) production processes - the processes which are directly directed to production and provision of services;

95) the request - the appeal of the subject to department of authorized body about approval of rate;

96) the "PR" steam turbine - the protivodavlenchesky turbine without condenser, with regulated production selection;

97) the steam "FRIDAY" turbine - the condensation turbine with two regulated selections: П - production (7-15 kg/cm 2) and T - heating (kg/cm 0,4-2,5 2);

98) admissible profit level - profit (net income) which the subject has the right to receive for effective functioning on provision of regulated service, being part of rate and determined taking into account book or revaluated value of the assets of the subject involved by provision of regulated service, and rates arrived, necessary for realization of the approved investing program, and calculated according to these rules;

99) the settlement specific need for useful heat energy - the amount of heat energy for the settlement heating period referred to unit of the general heated floor area of the building, Gigacalories on 1 square meter (further - Gcal/m 2);

100) the steam turbine like "R" - the protivodavlenchesky turbine without condenser in which the fulfilled vapor has pressure more atmospheric (kg/cm 1,2-18 2) and goes to the thermal consumer;

101) raid - the coastal water area which the sizes, with depths and the holding force of soil of bottom provides the anchor parking of the ships and courts;

102) regulated services - the goods, works, the services provided by subjects in spheres of natural monopolies and which are subject to state regulation by authorized body;

103) indicators of quality and reliability of regulated services - the set of criteria for evaluation of regulated services including technology and other objective process parameters of provision of regulated services to consumers, subjects including independent external assessment;

104) performance indicators of activities of subjects - the ratio of results of activities of the subject and its economic, management, production costs considered when forming rate;

105) industry H-factor - the industry performance indicator characterizing rate of surplus of factor productivity of industry of rather factor productivity of economy for the purpose of accounting in formula of calculation of rate for regulated service of the subject in the field of the natural monopoly carried according to this Mechanism, to the corresponding industry;

106) industry state body - the state body of the Republic of Kazakhstan performing management of industry (sphere) of public administration in which the consumer, except for authorized and competent bodies performs activities;

107) factor productivity of industry - the performance of industry reached by effective use available (without additional expansion) production factors (work, the capital);

108) standard deviation - the statistical size characterizing variability of data of rather average value, determined by department of authorized body or its territorial subdivision according to these rules;

109) the mechanized water supply method - method in case of which water from source is pumped by means of water lifting mechanisms (pumps), or machine (mechanical water rise);

110) self-flowing method of water supply - water supply on the systems allowing to take away and distribute water on the basis of use of forces of gravitation (own weight or weight) without use of water lifting mechanisms (pumps), or machine (mechanical water rise);

111) irrigating regulations - the water amount given on hectare of the irrigated area for the vegetative period (further - cubic meter/hectare);

112) water supply method - self-flowing, mechanized;

113) regulated services of the subject - the services provided by the subject of public-private partnership, including the subject of concession in the field of natural monopoly and which are subject to state regulation of authorized body by department including cases of provision of services in the form of transfer of certain goods to the consumer;

114) external services - services of the gas transmission and (or) gas-distributing organizations, including non-regulated, provided to external users of services, or services of petrotransport organizations, including non-regulated, provided to external users of services;

115) raid external - unprotected by hydraulic engineering constructions;

116) strategic goods:

the coal, gas, fuel oil and diesel fuel used in fuel quality for production of heat energy by subjects;

electrical energy - for subjects in spheres of transfer of electrical energy, water supply and (or) water disposal;

heat energy - for subjects in the field of supply with heat energy and for normative losses in the field of transfer and distribution of heat energy;

gas - for own needs and losses for subjects in spheres of storage, transportation of commodity gas on connecting, trunk gas pipelines and (or) gas-distribution systems, operation of group reservoir installations, and also transportations of sour gas through connecting gas pipelines;

water - for subjects in spheres of water supply, production of heat energy;

117) the "T" steam turbine - the heating condensation turbine with one type of selections of T - heating (kg/cm 0,4-2,5 2);

118) the steam turbine like "Tp" - the heating condensation turbine with non-regulated production selection and regulated heating selection (kg/cm 0,4-2,5 2).

119) natural monopoly - market situation of goods, works, services in case of which creation of competitive conditions for satisfaction of demand for certain type of goods, works, services is impossible or economically inexpedient owing to technology features of production and provision of this type of goods, works, services;

120) method of tariff regulation of the sphere of natural monopoly - the method applied when forming rate;

121) the subject of natural monopoly - the individual entrepreneur or the legal entity providing to consumers regulated services;

122) the settlement specific need for useful heat energy - the amount of heat energy for the settlement heating period referred to unit of the general heated floor area of the building, Gigacalories on 1 square meter (further - Gcal/m 2);

123) rate - monetary value of cost of regulated service;

124) restriction of the profit included in rate - establishment of limit of size of the profit determined according to these rules taking into account the means necessary for realization of investing program;

125) differentiation of rate - establishment of different levels of rate depending on consumption conditions, including customer group;

126) the tariff income - the income of the subject from provision of regulated services in the rate approved by department of authorized body;

127) costly method of tariff regulation - method of forming of rate depending on item by item certain, economically reasonable costs and profit of the subject;

128) the analysis of the performance report of the tariff estimate is the process providing comparison of the actual values of cost items, profits, amount of the provided regulated service, the size of rate provided by the subject in the performance report of the tariff estimate for the accounting period with the values corrected by department of authorized body by results of check of the proving materials and supporting documents with indicators of cost items, profits, amount of the provided regulated service, the size of rate provided in the approved tariff estimate, establishment of the reliable reasons of non-execution of cost items, the approved tariff estimate, including economy of costs (in the presence), reasons for the changes and amendments made by department of authorized body to the report (in the presence), conclusions about availability or lack of the bases for introduction of the temporary compensating rate;

129) the stimulating method of tariff regulation - method of forming of rate depending on observance of indicators of quality and reliability of regulated services and achievement of performance indicators of activities of subjects;

130) the tariff site - the site of the bulk distribution line and (or) the channel in which borders the single tariff for water supply within one customer group affirms and is effective;

131) costly part of rate - set of the costs connected with provision of services by the subject which are considered in case of determination of rate. These costs consist of cost of regulated service and expenses of the period (total and administrative expenses, selling expenses, expenses on payment of remunerations);

132) restriction of the cost types included in costly part of rate - establishment of the list of the expenses which are not considered in case of approval of rate and the tariff estimate;

133) the maximum level of rate - the maximum size of index to rates for regulated services of the high-level railway system approved by department of authorized body for tariff control;

134) the minimum level of rate - the minimum size of index to rates for regulated services of the high-level railway system approved by department of authorized body for tariff control;

135) forecast index of rate - the indicator determining the admissible level of rate by calculation of its forecast;

136) the involved assets - the subject's assets used for provision of service (services), including fixed assets and intangible assets;

137) regulated base of the involved assets - regulated asset cost, being in property of the subject and (or) used in case of production and provision of services to which the subject has the right to get profit;

138) the high-speed reduktsionno-cooling device (the reduktsionno-cooling device) - the high-speed reduktsionno-cooling device, serves for decrease in parameters of vapor;

139) the temperature schedule - constituted by the power transferring organization and the schedule of change of temperature of the heat carrier approved with local executive body depending on temperature of outside air at metering station of the consumer;

140) the state body performing management in the corresponding industries - the state bodies performing management in the field of power, rail transport, production, transportation (transportation), storage and wholesale of gas, and also retail sale and consumption of the commodity and liquefied oil gas, use and protection of water fund, water supply, water disposal;

141) ton transaction - is measured by the work of quantity of the overloaded load in physical tons on quantity of the overload options which passed it;

142) the consumer - the physical person or legal entity using or intending to use regulated services;

143) customer group - the consumers of regulated service of the subject grouped depending on the purpose and (or) method of its consumption;

144) premises (apartment) - the certain room intended and used for permanent residence, including both living space, and the non-residential area of the dwelling;

145) the non-residential premise - the certain room used for others, than permanent residence, the purposes (shop, cafe, workshop, office and so forth), except for the parts of the apartment house (residential building) which are common property;

146) the temporary compensating rate - the rate approved by department of authorized body for certain term for the purpose of return of means to consumers;

147) temporary decreasing coefficient - the size approved by department of authorized body and applied to rate for the purpose of protection of consumer interests and the subject;

148) authorized body - the state body performing management in the respective spheres of natural monopolies;

149) department of authorized body - the department of state body exercising regulation and control of activities of subjects, except for the subjects providing regulated services to air navigation, the airports on provision in property employment (lease) or use of the cable sewerage, and (or) its territorial authority;

150) national power grid - set of the substations, distributing devices, interregional and (or) interstate power lines and power lines performing issue of electrical energy of power plants of 220 kV and above, are not subject to privatization and are transferred to the national company;

151) the consumer of services in transfer of electrical energy on national power grid - the subject of the wholesale market of electrical energy using services of the system operator according to the signed agreements;

152) physical method - the balance sheet method of cost allocation of fuel on thermal and electric energies in case of their combined production which is not considering the energy value (potential) of vapor going for production of electrical energy and heat in the form of hot water and vapor;

153) loans of international financial institutions - the loans issued by international financial institutions based on the loan agreement or in the form of bills of exchange, bonds, other securities and other monetary commitments of international financial institutions;

154) conditional variable costs - the costs connected with surplus of the declared amount of consumption of service from the actual amount of consumption of service;

155) conditional variable costs in case of the combined development - costs which directly depend on production volume of electrical and heat energy in case of their combined development, including costs for technology fuel, for purchase of water, chemical reagents and the filtering materials, for ecological payments;

156) conditional fuel - the unit accepted in case of technical and economic calculations serving for comparison of thermal value of different types of organic fuel;

157) account rate - the size of costs coming per unit of the measuring instrument of production operations;

158) the expenditure item (cost types) - the costs considered on separate services, one or several homogeneous production operations;

159) hot water - the water having temperature at least 50 degrees Celsius (further - °C);

160) internal services - the services made by one activities of the subject and consumed for the purpose of provision further of external service by other activities of the same subject;

161) raid internal - protected by hydraulic engineering constructions;

162) economically reasonable costs - the costs connected with provision of regulated service, determined according to these rules;

163) factor productivity of economy - the performance of economy reached by use available (without additional expansion) production factors (work, the capital);

164) economic resources - set of sources, the means used in production economic activity, subdivided on natural (raw, geophysical), labor (human capital), capital (the physical capital - fixed assets), current assets (materials), information resources, financial (money capital) resources;

165) exergy - the maximum useful work which the system is capable to make upon its transition from certain thermal condition to balance with the environment (technical working capacity);

166) eksergetichesky method - the thermodynamic method of cost allocation of fuel on heat and electrical energy in case of their combined production, is based on the energy analysis of the thermodynamic cycle allowing to consider energy potential of vapor spent for production of electrical and heat energy;

167) transit electrical energy - the electrical energy made outside the Republic of Kazakhstan and intended for consumption in the territory of other state;

168) energy share - the attitude of the developed electrical energy towards the given total energy (the amount of heat and electrical energy);

169) enthalpy (specific enthalpy) - the total energy of working body in flow determined by thermodynamic condition of body and referred to body unit of mass. The enthalpy is determined by tables of thermodynamic properties of water and water vapor;

170) entropy - the physical quantity which change is energy exchange sign in the form of warmth in equilibrium processes is measure of irreversibility of the process proceeding in the isolated system. Entropy is determined by tables of thermodynamic properties of water and water vapor;

Other concepts and terms used in these rules are applied according to the legislation of the Republic of Kazakhstan in the field of natural monopolies.

4. The rate is established for a period of five and more years, except as specified, provided by the Law. The rate affirms for a period of the entire period of action of rate or for every year.

5. The rate provides cost recovery on provision of the regulated service and profit earning aimed at the development and effective functioning of the subject and other purposes which are not prohibited by the legislation of the Republic of Kazakhstan.

6. Forming of the project of rate and the tariff estimate is performed according to these rules.

Paragraph 1. Forming of rates

Section 1. General provisions

7. When forming rate the following methods of tariff regulation of spheres of natural monopolies are applied:

1) costly;

2) stimulating;

3) indexations;

4) determination of rate based on the signed agreement of public-private partnership, including the agreement of concession.

8. The method of tariff regulation of the sphere of natural monopoly is applied in case of observance in total of the following conditions:

1) economic and technology readiness of the subject for application of the corresponding method of tariff regulation of the sphere of natural monopoly;

2) non-admissions of assignment on the subject and consumers of impracticable obligations.

9. Forming of rate using costly method of tariff regulation provides:

1) restriction of types and the sizes of the costs considered in rate taking into account their economic justification;

2) application of technical and technology expense rates of raw materials, materials, fuel, energy in case of their availability, normative technical losses, the normative number of personnel determined on the basis of the standard regulations and standard rates existing in the corresponding industry (sphere);

3) approval of the tariff estimate with breakdown by years;

4) application of rectilinear accrual method of depreciation;

5) carrying out purchases by the subject according to article 23 of the Law and with Rules of implementation of activities by subjects of the natural monopolies approved by the order of the Minister of national economy of the Republic of Kazakhstan of August 13, 2019 No. 73, (it is registered in the Register of state registration of regulatory legal acts No. 19242) (further - Rules of implementation of activities);

6) determination of admissible profit level taking into account book or revaluated value of the assets of the subject involved by provision of regulated service, and rate of the profit calculated according to these rules, and amount of the means necessary for realization of the approved investing program;

7) approval of investing program;

8) approval of the temporary compensating rate for non-execution of cost items of the approved tariff estimate, inappropriate use of means of the depreciation charges and actions of the approved investing program.

10. Forming of rate using the stimulating method of tariff regulation provides:

1) restriction of types and the sizes of the costs considered in rate taking into account their economic justification;

Action of this subitem is applied in case of approval of rate in case of transition from costly method of tariff regulation to the stimulating method of tariff regulation;

3) determination of controlled and uncontrollable costs;

4) approval of the temporary compensating rate for non-execution of actions of the approved investing program and uncontrollable costs;

5) determination of profit taking into account return of the invested capital and rates of return the invested capitals of also book value of the assets of the subject involved by provision of regulated service, and rate of the profit calculated according to these rules;

6) measure definition of quality and reliability of regulated services;

7) measure definition of efficiency of activities of subjects;

8) application of rectilinear accrual method of depreciation;

9) approval of investing program.

11. Forming of rate using method of indexation provides:

1) annual establishment by the subject of low power of rate by indexation of the approved rate is not higher than the level, the authorized body determined by department in compliance the Mechanism of calculation of rate taking into account methods of tariff regulation of spheres of natural monopolies according to these rules;

2) use of level of indexation of the rate determined annually not later than two months prior to the beginning of calendar year taking into account parameters of social and economic development of the Republic of Kazakhstan.

12. Determination of rate based on the signed agreement of public-private partnership, including the agreement of concession, the approved investing program is performed according to these rules.

13. Methods of forming of rates:

1) the approval of rate performed by department of authorized body in case of submission by the subject of the request for approval of rate by the costly or stimulating method of tariff regulation;

2) the settlement of a tariff by the subject performed by the subject of low power when calculating rate by indexation method;

3) the determination of rate based on the signed agreement of public-private partnership, including the agreement of concession performed by department of authorized body on its initiative or based on the statement of the subject of public-private partnership, including the subject of concession in the field of natural monopoly.

Section 2. Representation and adoption of the request

14. For approval of rate by department of authorized body by the subject the request electronically through the web portal "Monopolist Base is provided.

15. Are applied to the request:

1) the project of rate (or the price list taking into account industry features);

2) the draft of the tariff estimate with appendix of the proving materials in forms according to appendix 1 to these rules;

3) certificate reasons of need of approval of rate;

4) the project of investing program or the approved investing program;

4-1) card of repairs of subjects with target indicators within investing programs according to appendix 142 to these rules;

5) cost budget, the fixed assets directed to repair, not leading to growth of cost;

6) the financial reporting in two prior calendar years;

7) reports on the forms approved by authorized body in the field of the state statistics according to the subitem 8) of article 12 of the Law "About the State Statistics":

about financial and economic activities, about investing activities;

about condition of fixed assets, the sizes of the salary of workers on separate positions and professions and on work in two prior calendar years;

8) itemized calculations of expenses;

9) calculation of profit;

10) the calculations of number of personnel, requirement of raw materials, materials, fuel, energy and technical losses made on the basis of the standard regulations and standard rates existing in the corresponding industry (sphere);

11) copies of decisions of the tender (tender) committees on purchase of material, financial resources, the equipment and goods, works, services for prior calendar year;

12) calculation of the depreciation charges on the fixed assets used before realization of the approved investing program (project) and put into operation in case of realization of the approved investing program (project) during the long-term period with breakdown by years;

13) supporting documents about financing terms and compensations of loan resources (the signed agreement with bank with appendix of the repayment schedule of principal debt and percent);

14) data on design capacity of the subject and its actual use;

14-1) data on the actual capacity utilization of the subject of natural monopoly from objects of informatization;

15) the documents confirming the planned amount of regulated services (the register of agreements with indication of the actual amounts of consumption of regulated services, the documents confirming decrease in amounts of consumption of regulated services, calculations of amounts of consumption of regulated services proceeding from obligation of high-quality general servicing and opportunities of the subject, inadmissibility of decrease in amounts for the purpose of maintenance or growth of price level, materials of marketing researches of the consumer demand);

16) the documents confirming actual data about costs and about amounts of regulated services in four quarters preceding submission of the request and for the previous calendar year (copies of agreements, acts of the performed works, delivery notes, invoices, the item-by-item list of fixed assets and intangible assets with indication of book and residual cost, service life, annual depreciation).

In case, stipulated in Item the 5th article 20 of the Law, in case of approval of rate using costly method for the subjects specified in Item 1 of article 20 of the Law the documents provided by subitems 6) and 7) of part one of this Item, in one prior calendar year and documents provided by the subitem 4) of part one of this Item are attached in case of their availability.

In case of approval of rate using the stimulating method of tariff regulation the documents provided by subitems 1), 3), 4), 6), 7), 9), 10), 13), 14) and 15) of part one of this Item, and also projects of indicators of quality and reliability of regulated services and performance indicators of activities of subjects with appendix of the proving materials are attached to the request.

The request for approval of rate using the stimulating method of tariff regulation the subject submits to department of authorized body after effective period of the approved rate, except as specified approvals of rates using the stimulating method of tariff regulation for the subjects included in the list approved by authorized body according to Item 8 of article 15 of the Law.

16. In case of change of amounts of the provided services in connection with reduction of quantity of the rates for regulated services differentiated on customer groups to the request for approval in the field of water supply and (or) water disposals, are applied:

1) the documents specified in part one of Item 15 of these rules;

2) information on water consumption amount by customer groups (including the population, state-financed organizations, the companies of the sphere of heat-and-power engineeering, other legal entities), in cubic meters (further - m 3) in four quarters preceding application or for the previous calendar year;

3) information on water consumption amount in m3 and to number of people, on each subscriber - for the subscribers who do not have individual metering devices of water in four quarters preceding application or for the previous calendar year;

4) information on water consumption amount in m3 and to number of people, on each subscriber - for the subscribers having individual metering devices of water in four quarters preceding application or for the previous calendar year.

17. In case of change of amounts of the provided services in connection with reduction of number of consumers without metering devices the subject submits the request for approval of the rates differentiated depending on availability or lack of metering devices for regulated services in supply with heat energy, including without change of the rate approved according to these rules with appendix of the following proving materials:

1) the explanatory note about need of approval of the differential tariffs depending on availability or lack of metering devices, including without change of the rate approved according to these rules;

2) calculation of the differential tariffs depending on availability or lack of metering devices;

3) information on the planned annual amount of consumption of heat energy by consumers, belonging to national group, including with breakdown on having and not having all-house metering devices of heat energy (except for consumers - physical persons, belonging to national group, living in shabby, emergency premises, houses of barrack-type type where there is no technical capability of installation of all-house metering devices of heat energy) with appendix of the proving materials (the agreements signed by the subject with consumers of services in supply with heat energy, protocols of intentions and calculations proceeding from obligation of high-quality general servicing and opportunities of the subject, inadmissibility of decrease in amounts for the purpose of maintenance or growth of price level);

4) information on the planned annual amount of consumption of heat energy by other and budget consumers, including with breakdown on having and not having all-house metering devices of heat energy (except for the other consumers located in shabby, emergency rooms, houses of barrack-type type where there is no technical capability of installation of all-house metering devices of heat energy) with appendix of the proving materials (the agreements signed by the subject with consumers of services in supply with heat energy, protocols of intentions and calculations proceeding from obligation of high-quality general servicing and opportunities of the subject, inadmissibility of decrease in amounts for the purpose of maintenance or growth of price level);

5) information on the planned annual amount of consumption of heat energy by the consumers (including with breakdown on physical persons, other and budget consumers) living or located in shabby, emergency premises, houses of barrack-type type where there is no technical capability of installation of all-house metering devices of heat energy;

6) the list of shabby, emergency rooms, houses of barrack-type type where there is no technical capability of installation of all-house metering devices of heat energy.

18. 16 and 17 these rules enclosed according to Items 15, calculations and the proving materials are prepared for the request by the subject separately on each type of regulated services.

19. Department of authorized body no later than seven working days from the date of receipt of the request checks completeness of the enclosed calculations and the proving materials for compliance to Item 18 of these rules and in writing informs the subject on adoption of the request to consideration or on refusal in its acceptance with indication of causes of failure according to Item 20 of these rules.

20. The refusal bases in acceptance to consideration of the request by authorized body are:

1) non-presentation by the subject of the documents provided by Items 15, of 16 or 17 these rules;

2) discrepancy of the submitted documents to Item 18 of these rules;

3) reference to commercial the data, not stipulated in Item the 7th article 25 of the Law.

21. If by consideration of the request the additional information is necessary, department of authorized body requests it from the subject in writing with establishment of term, but at least five working days.

22. Requests with the enclosed documents submitted on the electronic medium taking into account the requirement, stipulated in Item the 7th article 25 of the Law are placed on Internet resource of department of authorized body.

Section 3. Approval of rate

23. Department of authorized body considers the request no more than ninety working days from the date of its representation, in case of approval of rate for the long-term period and no more than thirty calendar days, in case of approval of rate according to Item 5 of article 20 of the Law in time.

23-1. Department of authorized body considers the request submitted according to Items 16 and 17 of these rules, in time no more than twenty working days.

In case of provision of the request for approval of the differential tariffs along with the request for approval of rate submitted according to Item 15 of these rules the request for approval of the differential tariffs is considered in time, specified in Item 23 of these rules.

24. Department of authorized body submits the projects of rate and the tariff estimate offered by the subject for discussion when carrying out public hearings.

Public hearings are carried out by authorized body in case of approval of rate not later than thirty calendar days before approval of rate, in case of approval of rate in the simplified procedure, and also in case of approval of rate according to Item 5 of article 20 of the Law and in the cases provided by subitems 4), 6), 7), 8) and 9) of Item 1 of article 22 of the Law – not later than ten calendar days before approval of rate.

25. Department of authorized body considers the project of rate and the tariff estimate with the enclosed proving documents and calculations provided by the subject by carrying out the analysis and in one day prior to decision making creates the conclusion about results of consideration of the project of rate and the tariff estimate of the subject in form 24 according to appendix 1 to these rules.

26. Department of authorized body based on the conclusion about results of consideration of the project of rate and the tariff estimate of the subject, makes the decision on approval of rate with indication of the term of its action or refusal in its approval.

The conclusion about results of consideration of the project of rate and the tariff estimate of the subject is created by department of authorized body in one day prior to decision making about approval of rate.

27. The refusal in approval of investing program by authorized body, other state body or local executive body which competences are provided by Articles 8, 9 and 10 Laws is the basis for refusal in approval of rate.

28. The decision of department of authorized body on approval of rate or refusal in approval of rate is drawn up by the order of the head of department of authorized body and goes department of authorized body to the subject no later than five calendar days from the date of decision making about its approval.

With the decision on approval of rate reasons for changes and amendments of the cost items, profit and actions of the approved investing program provided by the subject with the request go.

29. Department of authorized body places the approved rates and tariff estimates on the Internet resource no later than five working days after decision making about their approval.

30. The rate becomes effective not earlier than the first day of the second month following after month of approval of rate, except as specified, provided by the Law.

31. The subject informs consumers information on approval of rate not later than thirty calendar days before its enforcement and within five calendar days provides information on the consumer notification fact on introduction of rate in department of authorized body.

The subject informs the consumer information on introduction of the rates differentiated depending on availability or lack of metering devices on regulated services in supply with heat energy including without change of the rate approved according to these rules not later than seven calendar days before their introduction in action by placement of this information in the mass media extended to the territories of administrative and territorial unit in which the subject performs the activities.

32. If the subject will not inform the consumer on introduction of rate in the terms established by this Law, the specified rate is not entered from the date specified in the decision of department of authorized body. Introduction of the approved rate is performed from the first day of the third month following after month of approval of rate.

Section 4. Change of the tariff estimate without increase in rate

33. For change of the approved tariff estimate without increase in rate the subject files in department of authorized body petition for change of the approved tariff estimate without increase in rate in paper or electronic form through the web portal "Monopolist Base till November 1 of the current calendar year.

34. Without increase in rate are enclosed the draft of the tariff estimate taking into account changes without increase in rate to the application for change of the approved tariff estimate and the materials proving and confirming need of modification (the copy of agreements, acts of the executed works / priyemov-peredachi, delivery notes, invoices, the item-by-item list of fixed assets and intangible assets with indication of book and residual cost, service life, annual depreciation, calculations).

The statement for change of the approved tariff estimate without increase in rate, and also the calculations and the proving materials attached to it are prepared and move in department of authorized body the subject separately on each type of regulated services.

35. Department of authorized body considers the application for change of the approved tariff estimate without increase in rate no more than thirty calendar days from the date of its representation taking into account requirements of the costs considered and not considered in rate and restriction of the sizes of the costs considered in rate according to these rules in time.

36. Department of authorized body considers the draft of the tariff estimate with the enclosed proving documents and calculations provided by the subject by carrying out the analysis and in one day prior to decision making creates the conclusion about results of consideration of the draft of the tariff estimate of the subject in form 24 according to appendix 1 to these rules.

37. Department of authorized body based on the conclusion about results of consideration of the draft of the tariff estimate of the subject makes the decision on modification of the approved tariff estimate or on refusal in modification of the approved tariff estimate.

38. Department of authorized body refuses change of the approved tariff estimate if such change leads to increase in rate of the subject.

39. No. 35 is excluded according to the Order of the Minister of national economy of the Republic of Kazakhstan of 17.03.2023

40. Department of authorized body makes changes to the tariff estimate and rate towards its decrease in case of modification of investing program towards reduction of its amount.

41. Change of the cost items provided in the tariff estimate, determined taking into account requirements of raw materials, materials, fuel, energy is performed in case of exceeding of the specified expenses or in case of decrease in consumption rates more than for five percent, except for force majeure circumstances and emergency situations.

Paragraph 2. Submission of the performance report of the approved tariff estimate and carrying out its analysis

42. During action of rate the subject annually no later than May 1 of the year following the accounting period provides the performance report of the approved tariff estimate in department of authorized body electronically through the web portal "Monopolist Base in forms according to appendix 1 to these rules.

In case of approval of rate using the stimulating method of tariff regulation the subject annually no later than May 1 of the accounting period represents in time to department of authorized body, state body or local executive body reports on the income which are actually reached for accounting year, expenses, observance of indicators of quality and reliability of regulated services, achievement of performance indicators of activities of subjects according to the procedure, the determined authorized body.

The calculations and the proving materials attached to the performance report of the approved tariff estimate are prepared by the subject separately on each type of regulated services.

43. Are applied to the performance report of the tariff estimate:

1) the explanatory note about execution of the tariff estimate with explanation of the reasons of its non-execution;

2) the profit and loss statement of the subject in the form approved by the order of the Minister of Finance of the Republic of Kazakhstan of June 28, 2017 No. 404 "About approval of the list and forms of the annual financial reporting for the publication by the organizations of public interest (except financial institutions)" (it is registered in the Register of state registration of regulatory legal acts for No. 15384);

3) data on realization of the cost budgets directed to the repair which is not leading to growth of cost of fixed assets;

4) the materials confirming actual costs of the subject according to the tariff estimate (to the copy of agreements, acts of the executed works / priyemov-peredachi, delivery notes, invoices, the item-by-item list of fixed assets and intangible assets with indication of book and residual cost, service life, annual depreciation, calculations);

5) the materials confirming itemized economy of costs with appendix of the materials confirming the actual use of the specified economy, and (or) reducing amounts of the provided regulated services:

the letter of state body and (or) local executive body with information on implementation by the subject of more effective methods and technologies of provision of regulated services;

protocols of the tender (tender) committees;

acts of reconciliations with consumers of amounts of the provided regulated services and the exposed invoices for payment, except for utilities in spheres of natural monopolies on which the register of amounts of consumption of regulated services with indication of amounts and amount dues is provided;

the letter of state body and (or) local executive body with information on the actual amounts of the provided regulated services;

6) the reporting under forms, according to Rules of conducting separate accounting of the income, costs and the involved assets by each type of regulated services and in general on the activities which are not relating to regulated services according to Chapter 9 of these rules;

7) the conclusion following the results of carrying out public monitoring and (or) technical expertize of execution of the approved investing program.

44. The analysis of the report of the subject on execution of the approved tariff estimate is carried out by department of authorized body in time no more than ninety calendar days from the date of its receipt.

If by consideration of the report of the subject on execution of the approved tariff estimate the additional information is necessary, department of authorized body requests it in writing with establishment of term, but at least five working days.

At the same time the term of carrying out the analysis of the report of the subject on execution of the approved tariff estimate stops before receipt of necessary information with the notification on it of the subject.

45. Department of authorized body considers the performance report of the tariff estimate of the subject by carrying out its analysis and creates the conclusion about results of consideration of the performance report of the tariff estimate in form 24 according to appendix 1 to these rules.

46. Department of authorized body based on the conclusion about results of consideration of the performance report of the tariff estimate of the subject in cases, stipulated in Item 2 articles 33 of the Law makes the decision on introduction of the temporary compensating rate.

Chapter 2. The mechanism of calculation of rate taking into account methods of tariff regulation of spheres of natural monopolies

Paragraph 1. General provisions

47. The mechanism of calculation of rate taking into account methods of tariff regulation of spheres of natural monopolies shall provide cost recovery on provision of the regulated service and profit earning aimed at the development and effective functioning of the subject and other purposes which are not prohibited by the legislation of the Republic of Kazakhstan on natural monopolies.

48. This Mechanism of calculation of rate taking into account methods of tariff regulation of spheres of natural monopolies determines:

calculation of rate taking into account costly method of tariff regulation of spheres of natural monopolies;

calculation of rate taking into account the stimulating method of tariff regulation of spheres of natural monopolies;

calculation of rate taking into account application of method of indexation;

calculation of rate taking into account application of method determination of rate based on the signed agreement of public-private partnership, including the agreement of concession.

Paragraph 2. Calculation of rate taking into account costly method of tariff regulation of spheres of natural monopolies

Section 1. Calculation of rate

49. Calculation of rates taking into account costly method of tariff regulation of spheres of natural monopolies determines calculation of rates for regulated services, and features of calculation of rate depending on specifics of certain spheres of natural monopolies taking into account costly method of tariff regulation of spheres of natural monopolies.

50. The rate using costly method of tariff regulation affirms department of authorized body by determination of economically reasonable costs and profit.

51. In case of approval of rate, the rate is determined by formula:

where:

TD - the tariff income, tenge;

POU - the planned amount of regulated service in kind.

52. The tariff income is determined by the following formula:

TD = Z + DUP,

where:

Z - economically reasonable costs, tenge;

DUP - admissible profit level, tenge.

53. In case of approval of rate for the entire period of its action (five and more years) the rate is determined by formula:

where:

i - year of the period of action of rate;

n - period of action of rate.

Сумма TDI - the amount of the tariff income for all years of the period of action of rate, tenge;

Сумма POUI - the amount of the planned amounts of regulated service for all years of the period of action of rate in kind.

54. In case of approval of rate for every year of the period of its action the rate is determined by formula:

where:

TDI - the tariff income on each i year of the period of action of rate, tenge;

POUI - the planned amount of regulated service on each i year of the period of action of rate in kind.

55. The tariff income on each i year of the period of action of rate is determined by the following formula:

TDI = Zi + DUPI,

where:

Zi - economically reasonable costs in i to year, tenge;

DUPI - admissible profit level in i to year, tenge.

56. As the planned amount of regulated service the actual amounts of regulated services for the previous calendar year, or for the last four quarters, including for the first year of the period of action of rate (five and more years) and the planned amounts of regulated services - the subsequent planned years taking into account priorities of development of the Republic of Kazakhstan and socio-economic indexes of the Republic of Kazakhstan are accepted.

In case of decrease in the planned amounts of regulated services when calculating rates the planned amounts based on the materials provided by the subject proving and confirming this decrease are accepted.

In cases of provision by the subject of the planned amount above the actual amounts (for the purpose of inadmissibility of decrease in amounts for maintenance or growth of price level) when calculating rates the planned amounts are accepted.

For the subjects specified in subitems 1) 2) and 3) of Item 1 of article 20 of the Law when calculating rates the planned amounts are accepted.

56-1. In case of change of the rate approved by authorized body before the expiration of its effective period in the cases provided by the subitem 10) of Item 1 of article 22 of the Law, rates affirm separately for every year of the remained period of action of the approved rate, at the same time the amount of the half-received or gained income which developed as a result of change of the weighted average approved rate before the expiration of its action is considered when calculating rate by years.

Section 2. Features of calculation of rate for regulated services in water supply on bulk distribution lines and (or) channels

57. Calculation of rate for regulated services in water supply for bulk distribution lines and (or) channels extends to the regulated services provided by the subject in the form of water supply from the bulk distribution line and (or) the channel to groups of water users by means of complex of hydraulic engineering constructions and (or) the artificial hydraulic engineering construction according to the signed agreements.

58. The rate for regulated services in water supply on bulk distribution lines and (or) channels is calculated according to rate procedure of payments according to Section 1 of this paragraph and is measured in tenge for 1 cubic meter of water.

If in case of provision of services on water supply on channels of service are provided in the territory of several areas, the rate and the tariff estimate are calculated on service in general using differentiation on customer groups depending on water supply method on channels.

If in case of provision of services on water supply on bulk distribution lines in system of bulk distribution lines rates are approved on certain sites and services are provided in the territory of two and more areas, the single tariff and the tariff estimate are calculated on all system in general.

59. Economically reasonable costs are created of costs of territorial branches of the subject (in case of their availability) if the subject provides services in the territory of several areas or sites if the subject provides services in the territory of the area/city/area.

In the presence as a part of the subject more than two total production territorial branches costs are calculated by formula:

Zobshch = Zfil + Ztsentr,

where:

Zobshch - total economically reasonable costs of the subject, tenge;

Zfil - the total economically reasonable costs of territorial branches of the subject expected amount of services, tenge;

Ztsentr - expenses of central office of the subject, tenge.

60. The rate for services in water supply by bulk distribution lines and (or) on channels is calculated by formula:

where:

n - the period of action of rate (for year or for the entire period);

Tn - rate for services in water supply on bulk distribution lines and (or) on channels for action of rate for 1 cubic meter, tenge;

Zn - economically reasonable costs for the period the actions of rate taken taking into account requirements of these rules, thousands of tenges;

DUPN - admissible profit level to the taxation for action of rate, thousands of tenges;

Vn - amount of the rendered services for action of rate, thousands of cubic meters.

61. No. 3 is excluded according to the Order of the Minister of national economy of the Republic of Kazakhstan of 17.01.2022

Section 3. Features of calculation of rate for regulated services in supply with heat energy

62. Calculation of rate for regulated services in supply with heat energy extends to the subjects, irrespective of patterns of ownership rendering service in supply with heat energy.

63. The rate for regulated services in supply with heat energy is determined by formula:

1) in case of approval of rate for regulated services in production, transfer, distribution and supply with heat energy in total, the rate is calculated by the following formula:

T = (_Zpprs _+rpprs) / Q,

where:

_Zpprs – economically reasonable costs of the subject for provision of regulated services in production, transfer, distribution and supply with heat energy, tenge;

_Rpprs – the admissible profit level necessary for effective provision of regulated services in production, transfer, distribution and supply of heat energy, tenge;

Q – the planned annual amount of consumption of heat energy by the consumers (having and not having all-house metering devices of heat energy), confirmed with the agreements signed by the subject with consumers of services in supply with heat energy, to protocols of intentions and calculations proceeding from obligation of high-quality general servicing and opportunities of the subject, inadmissibility of decrease in amounts for the purpose of maintenance or growth of price level, Gigacalories (further – Gcal);

2) in case of approval of rate for regulated services in transfer, distribution and supply with heat energy in total, the rate is calculated by the following formula:

T = _Tproizv + (_Zprs _+rprs) / Q,

where:

_Tproizv – rate for production of heat energy, tenge for 1 Gigacalories (further – tenge/Gcal);

_Zprs – economically reasonable costs of the subject for provision of regulated services in transfer, distribution and supply with heat energy, tenge;

_Rprs – the admissible profit level necessary for effective provision of regulated services in transfer, distribution and supply of heat energy, tenge;

3) in case of approval of rate for regulated services in supply with heat energy or if for the subject rates for regulated services in production and (or) transfer, distribution and (or) supply with heat energy separately on each service affirm:

T = _Tproizv + _Tpered + (_Zsnabzh _+rsnabzh) / Q,

where:

_Tproizv – rate for production of heat energy;

_Tpered – rate for transfer and distribution of heat energy;

_Zsnabzh – economically reasonable costs of the subject for provision of regulated services in supply with heat energy, tenge;

_Rsnabzh – the admissible profit level necessary for effective provision of regulated services in supply of heat energy, tenge.

Section 4. Features of calculation of rate for regulated services in transfer of electrical energy on national power grid, technical scheduling of leave in network and to consumption of electrical energy, the organization of balancing of production consumption of electrical energy

64. The mechanism of calculation of rate for regulated services in transfer of electrical energy on national power grid, on use of national power grid, technical scheduling of leave in network and to consumption of electrical energy, the organization of balancing of production consumption of electrical energy, is used to consumers - subjects of the wholesale market of electrical energy according to the signed agreements.

65. The rate for services in transfer of electrical energy on national power grid, is applied to the consumers performing export and import of electrical energy, the organizations of other states for amount of interstate transit of electrical energy, the organizations entering group of persons, performing transfer of electrical energy on national power grid for the objects which are part of data of the organizations, and subjects of the wholesale market, performing purchase and sale of electrical energy out of the single purchaser of electrical energy, and is calculated according to rate procedure of payments according to Section 1 of this Chapter.

66. The regulated service in technical scheduling of leave in network and to consumption of electrical energy is provided by the system operator by centralized supervisory control of the modes of production and consumption of electrical energy in single electric utility system of the Republic of Kazakhstan

67. The rate for regulated service in technical scheduling of leave in network and to consumption of electrical energy is calculated by the following formula:

where:

Z - economically reasonable total costs of the system operator on provision of regulated service in technical scheduling of leave in network and to consumption of electrical energy, tenge;

Р - the admissible profit level necessary for effective provision of regulated service in technical scheduling of leave in network and to consumption of electrical energy, tenge;

_Wotp-the amount of the electrical energy according to Item 56 of these rules released by the power making organizations of the Republic of Kazakhstan in network on lines of all classes of tension, determined according to the legislation of the Republic of Kazakhstan on natural monopolies, confirmed with the agreements signed by the subject with consumers of services in technical scheduling of leave in network and consumption of electrical energy, protocols of intentions and calculations proceeding from obligation of high-quality general servicing and opportunities of the subject, inadmissibility of decrease in amounts for the purpose of maintenance or growth of price level, kWh.

_Wimp-the amount of the electrical energy according to Item 56 of these rules received on border of the Republic of Kazakhstan, determined according to the legislation of the Republic of Kazakhstan on natural monopolies, confirmed with the agreements signed by the subject with consumers of services in technical scheduling of leave in network and consumption of electrical energy, protocols of intentions and calculations proceeding from obligation of high-quality general servicing and opportunities of the subject, inadmissibility of decrease in amounts for the purpose of maintenance or growth of price level, kWh.

68. The rate for regulated service in the organization of balancing of production consumption of electrical energy is applied in relation to the size released from tires of the power making organizations and size of the consumed electrical energy in the wholesale and retail markets to which the total quantity of electrical energy is accepted:

1) released from tires by the power making organizations of the Republic of Kazakhstan, irrespective of their departmental accessory;

2) received by the power transferring organizations for compensation of technology expense of electrical energy in networks of the power transferring organization and for economic needs of the power transferring organizations;

3) received by the power supplying organizations in the wholesale and retail markets of electrical energy, including because of limits of the Republic of Kazakhstan for own consumers;

4) the electrical energy received by consumers in the wholesale market, including because of limits of the Republic of Kazakhstan, and also consumed from the power making organizations of industrial complexes, the companies and associations which are part of these complexes.

69. The rate for regulated service in the organization of balancing of production consumption of electrical energy is calculated by the following formula:

129-23 (Ф.1)

_TBAL– rate for regulated service in the organization of balancing of production consumption of electrical energy, tenge/kWh;

_ZBAL– economically reasonable expenses of the system operator necessary for implementation of service in the organization of balancing of production consumption of electrical energy, tenge.

In structure _{of ZBAL}– expenses on services in regulation of electric power are considered.

Р – the admissible profit level necessary for effective provision of services on the organization of balancing of production consumption of electrical energy, tenge;

_WPG– the planned total amount of the electrical energy released from tires of the power making organizations confirmed with the agreements signed by the system operator with consumers of services in the organization of balancing of production and consumption of electrical energy, protocols of intentions and calculations proceeding from obligation of high-quality general servicing and opportunities of the subject, inadmissibility of decrease in amounts for the purpose of maintenance or growth of price level, kWh.;

_WPP– the planned total amount of the electrical energy consumed in the wholesale and retail markets of electrical energy confirmed with the agreements signed by the system operator with consumers of services in the organization of balancing of production and consumption of electrical energy, protocols of intentions and calculations proceeding from obligation of high-quality general servicing and opportunities of the subject, inadmissibility of decrease in amounts for the purpose of maintenance or growth of price level, kWh.

70. Rates for services in the field of transfer of electrical energy:

1) in the field of on transfer of electrical energy, the rate calculated by formula is applied:

129-23 (Ф.2)

_{TV to the sphere of transfer on NES}– rate for services in the field of transfer of electrical energy in national power grid, tenge/kWh.;

_{Zv to the sphere of transfer of EE}– economically reasonable costs of the system operator for services in the field of transfer of electrical energy, tenge;

_{To the sphere Rv of transfer of EE}– admissible profit level on regulated base of the involved assets, necessary for effective rendering services in the field of transfer of electrical energy, calculated according to these rules, tenge;

Wv _{to the sphere of transfer of EE}– the planned annual amount in the field of transfer of electrical energy on national power grid to consumers confirmed with the agreements signed by the subject with consumers of services in transfer of electrical energy on national power grid, protocols of intentions and calculations proceeding from obligation of high-quality general servicing and opportunities of the subject, inadmissibility of decrease in amounts for the purpose of maintenance or growth of price level, kWh.

2) on service in transfer of electrical energy, applied to the consumers performing export and import of electrical energy, the organizations of other states for amount of interstate transit of electrical energy, the organizations entering group of persons, performing transfer of electrical energy on national power grid for the objects which are part of data of the organizations, and subjects of the wholesale market, performing purchase and sale of electrical energy out of the single purchaser of electrical energy, the rate calculated by formula is applied:

129-23 (Ф.3)

_{Tperedach on NES}– rate for services in transfer of electrical energy on national power grid, tenge/kWh.;

Wperedachi _{on NES}– the planned annual amount of transfer of electrical energy on national power grid to consumers, performing export and import of electrical energy, the organizations of other states for amount of interstate transit of electrical energy, the organizations entering group of persons, performing transfer of electrical energy on national power grid for the objects which are part of data of the organizations, and subjects of the wholesale market, performing purchase and sale of electrical energy out of the single purchaser of electrical energy, confirmed with the agreements signed by the subject with consumers of services in transfer of electrical energy on national power grid, protocols of intentions and calculations proceeding from obligation of high-quality general servicing and opportunities of the subject, inadmissibility of decrease in amounts for the purpose of maintenance or growth of price level, kWh.;

_KNES– ratio of the planned annual amounts on transfer of electrical energy on national power grid of the organizations entering group of persons to amount of services in transfer of electrical energy.

3) on the service in use of national power grid rendered by the system operator to the subject of the wholesale market of electrical energy, except for the single purchaser of electrical energy, conditional consumers and legal entities who are part of groups of persons, upon purchase of electrical energy by them at the single purchaser of electrical energy and implementation of transactions of purchase and sale of the balancing electrical energy and negative imbalances with settlement center of the balancing market of electrical energy according to the Law of the Republic of Kazakhstan "About power industry", it is calculated by formula:

129-23 (Ф.4)

_{Tpolzovany NES}– rate for service in use of national power grid, tenge/kWh.;

_{To the sphere Dv of transfer of EE} - the cumulative level of means of the System operator necessary for rendering services in the field of transfer of electrical energy determined by formula:

D in the field of transfer of EE = Zv to the sphere of transfer of EE + the sphere Rv of transfer of EE, where:

_{Wpolzovaniye NES} - amount of services in use of national power grid, rendered by the system operator to the subject of the wholesale market of electrical energy, except for the single purchaser of electrical energy, conditional consumers and legal entities who are part of groups of persons, upon purchase of electrical energy by them at the single purchaser of electrical energy and implementation of transactions of purchase and sale of the balancing electrical energy and negative imbalances with settlement center of the balancing market of electrical energy according to the Law of the Republic of Kazakhstan "About power industry".

Section 5. Features of calculation of rates for regulated services in storage of commodity gas

71. Regulated services in storage of commodity gas are provided by the subject, having in property on legal causes underground gas storages (the underground constructions in complex with the land equipment which are part of gas trunk pipeline system in which the gas inventory, and other constructions intended for provision of services on gas storage is stored) based on the available license for this type of activity.

72. The rate for regulated service in storage of commodity gas is applied to buffer gas (amount of gas which needs to be had constantly available for the purpose of maintenance of optimal conditions for operation in the project mode) and active amount of gas (gas amount, determined by the project of operation which downloads over amount of buffer gas for storage).

73. The rate for services in storage of commodity gas is calculated separately for each underground gas storage for 1000 cubic meters a month, proceeding from the geological and technology differences operating in the territory of the Republic of Kazakhstan.

74. The rate for services in storage of commodity gas for 1000 cubic meters a month is calculated by formula:

where:

T - rate for services in storage of commodity gas;

TD - the tariff income of the subject;

V - total amount of monthly gas storage taking into account amounts of downloading and gas offtake.

75. The tariff income is calculated by formula:

TD = Z + DUP,

where:

TD - the planned tariff income of the subject;

З - planned cost amount of the gas-storing organization, connected with provision of service in storage of commodity gas, including costs for downloading and gas offtake;

DUP - admissible profit level of the subject;

76. The production costs of the subject connected with provision of service in storage of commodity gas, selection and pumping gas it is determined by direct belonging to these types of activity.

77. The total amount of monthly storage of commodity gas taking into account amounts of downloading and gas offtake is calculated by formula:

where:

^Vixp – monthly amount of storage of commodity gas taking into account amounts of downloading and gas offtake in i-volume month;

^Viocm – remaining balance of active gas for the beginning of i-that month;

^Vi3 – amount of the pumped gas in i-ohm month;

^Vi0 – amount of the selected gas in i-ohm month.

Section 6. Features of calculation of rates for the regulated transportation services of commodity gas for trunk gas pipelines provided including within the Law of the Republic of Kazakhstan "About ratification of the Agreement between the Government of the Republic of Kazakhstan and the Government of People's Republic of China about cooperation in construction and operation of the gas pipeline Kazakhstan - China

78. The rate for the regulated transportation service of commodity gas on trunk gas pipelines provided by the subject is established for each 1000 cubic meters of gas regardless of the extent of gas pipelines on the territory of the Republic of Kazakhstan within technical capabilities, except for the regulated transportation service of commodity gas on trunk gas pipelines provided within the Law of the Republic of Kazakhstan "About ratification of the Agreement between the Government of the Republic of Kazakhstan and the Government of People's Republic of China about cooperation in construction and operation of the gas pipeline Kazakhstan - China" (further – the Agreement) on which the rate is established for 1000 cubic meters of gas on 100 kilometers on the territory of the Republic of Kazakhstan within technical capabilities.

79. In case of approval of rate for regulated transportation service of the commodity gas on bulk distribution lines intended for consumption in the territory of the Republic of Kazakhstan (further - internal transportation), the rate is determined for transportation of 1000 cubic meters of commodity gas by formula:

where:

_Tvn-rate for internal transportation of 1000 cubic meters of gas on trunk gas pipelines;

_Tdvn-tariff income from internal transportation;

_Vvn-annual amount of internal gas transportation.

80. In case of approval of rate for regulated transportation service of commodity gas on trunk gas pipelines within the Agreement, the rate for 1000 cubic meters for 100 kilometers of internal transportation is determined by formula:

where:

Tvn - rate for internal transportation of 1000 cubic meters for 100 kilometers on trunk gas pipelines;

Tdvn - the tariff income from internal gas transportation;

TTRVN - the planned annual amount of commodity transport work on internal gas transportation on trunk gas pipelines.

81. In case of approval of rate for regulated transportation service of commodity gas by trunk gas pipelines within the Agreement on single tariff for gas transportation for consumption in the territory of the Republic of Kazakhstan, on the first site through the territory of the Republic of Kazakhstan on gas transportation services for the purposes of export and on transportation services of transit gas on trunk gas pipelines, the rate for transportation of 1000 cubic meters for 100 kilometers is determined by formula:

where:

_Tobshch-single tariff for gas transportation for 1000 cubic meters on 100 kilometers;

_Tdobshch-total tariff income of the subject;

_Ttrobshch-the total planned annual amount of commodity transport work on gas transportation on trunk gas pipelines.

82. The tariff income of the subject from rendering of services on internal transportation without the income from the international gas transportation, is determined by formula:

^Tdvn = ^Zvn + ^DUPVN,

where:

^Tdvn-tariff income from internal transportation;

^Zvn-total economically reasonable costs of the subject attributable to internal transportation;

^DUPVN-admissible profit level on internal transportation.

83. The total planned tariff income of the subject is determined by formula:

_Tdobshch = _Zobshch + _Dupobshch,

where:

_Tdobshch-total planned tariff income of the subject;

_Zobshch-the total economically reasonable planned costs of the subject expected planned amount of services;

_Dupobshch-admissible profit level;

84. The total economically reasonable planned costs of the subject attributable to internal transportation are calculated by formula:

^Zvn = ^Zvnfil + ^Zvntsentr,

where:

^Zenfil-costs for internal gas transportation of all branches;

^Zentsentr-the costs of central office falling on internal transportation.

85. In the presence as a part of the subject of total production territorial branches costs are calculated by formula:

_Zobshch = _Zfil + _Ztsentr,

where:

_Zfil-the total economically reasonable planned costs of branches expected planned amount of services;

_Ztsentr-planned costs of central office of the subject.

86. Costs planning is made on each of branches of the subject on the basis of the analysis of their financial and economic activities for the accounting period and programs of work for the planned period.

87. Transport costs of gas of i-that branch it is calculated by formula:

^Zifil = ^Zipr + ^Ziper,

where:

i - sequence number of branch;

^Zip-general production and operating expenses of i-that branch;

^Ziper-expenses of the period of i-that branch.

88. Costs for internal gas transportation of i-that branch are calculated by formula:

where:

Формула 15 к Приказу от 19.11.2019 №90 - costs for internal gas transportation of i - that branch;

Формула 16 к Приказу от 19.11.2019 №90 - specific weight of commodity transport work on internal transportation in total amount of commodity transport work on i-volume to branch for planning period.

89. Planned costs of the subject on internal transportation are determined as the amount of planned costs for internal gas transportation by each branch on formula:

where:

- planned costs for internal transportation of all branches;

Формула 18-1 к Приказу от 19.11.2019 №90

- planned costs for internal gas transportation of i-that branch;

N - number of branches.

90. Planned costs of separate branches are determined taking into account share of costs by central office which are calculated in proportion to production costs of each branch in total amount of production costs of the subject on formula:

where:

^Zitsentr-component of planned costs of i-that branch taking into account cost allocation of central office on separate branches.

91. In the presence at the subject of the branches which are directly not performing gas transportation which activities are connected with implementation of works of production nature their costs provided for action of rate are redistributed on production branches according to the procedure, determined by Item 89 of these rules.

92. The planned costs attributable to internal gas transportation of the subject are calculated as the amount of planned costs for the internal transportation on each branch and central office increased by share of commodity transport work of this branch on formula:

93. The planned annual amount of commodity transport work on internal gas transportation on trunk gas pipelines is determined by formula:

where:

n - quantity of points of supply of gas for internal transportation;

m - quantity of points of gas offtake for internal transportation;

_Li-gas pipeline extent from giving point to gas offtake point for internal transportation;

_Vivn-annual amount of internal gas transportation on sites of trunk gas pipeline (Li).

94. The total planned annual amount of commodity transport work on gas transportation on trunk gas pipelines is determined by formula:

where:

n - quantity of points of supply of gas;

m - quantity of points of gas offtake;

_Li - gas pipeline extent from giving point to selection point;

_Viobshch-annual transportation load of gas on sites of trunk gas pipeline (Li).

Section 7. Features of calculation of rate for regulated transportation services of oil for bulk distribution lines

95. In case of approval of rate for oil transportation service on bulk distribution lines, the rate for transfer of 1 ton for 1000 kilometers is determined by formula:

where:

UT - specific rate, tenge/thousands of tons of kilometers;

Д - income, tenge;

- cargo turnover in case of oil transportation (the transportation route extent increased by transportation load along this route), thousands of tons of kilometers.

96. The income from rendering of services on oil transportation on bulk distribution lines is calculated by formula:

Д = 3 + DUP,

where:

Д - income;

3 - the cost amount considered when calculating rate in case of the declared amount of services;

DUP - admissible profit level;

97. Calculation of rate for transfer of one ton of oil for the certain site is made on formula:

_Clouds = UT * L,

where:

- rate for transfer of one ton of oil on certain site, tenge/ton;

L - extent of the site, thousands of kilometers.

When calculating level of rate subsidizing of routes on the domestic market at the expense of routes for export and transportation of transit oil is allowed.

98. Calculation of rates for services in discharge of oil from cistern cars, on filling oil in cistern cars, on filling oil in the tanker, on plum of oil from truck tanks, on filling oil in truck tanks, on oil storage, on oil transfer, on mixing of oil, operator activities for single routing, provided by the pipeline organization, is made for each type of service separately on formula:

where:

t DU i - rate for 1 ton i-oh services, tenge/ton;

DDU i - the income from provision i-oh services, tenge;

The ODE i - provision amount i-oh services, ton.

Section 9. Features of calculation of rates for regulated services in the field of sidings in the absence of competitive siding

99. The amount of service in provision of siding for journey of railway vehicles on condition of lack of competitive siding is characterized by quantity of the railway vehicles passed in the ways and range of the omission. The amount of service in provision of siding for journey of railway vehicles on condition of lack of competitive siding joins amounts, as for own consumption, and amounts of the services provided to external clients. The amount of service is measured by general run of railway vehicles on siding in car-kilometers of the omission and determined by formula:

_Q1 = _N1 * L _1,

where:

_Q1-amount of services in provision of siding (sidings) for journey of railway vehicles (omission vagono-km on sidings);

_N1 - the number of the cars which proceeded (there and back) on siding (sidings) for settlement period (car);

_L1 - the extent of siding (sidings) used by vetvepolzovatel for journey of railway vehicles.

The locomotive and other mobile units on railway to the course will be transformed to universal cars, by division of quantity of axes of movable unit into four.

100. The amount of service in provision of siding for shunting works, loading unloading, other technology transactions of transportation process, and also for the parking of railway vehicles, unforeseen technology transactions of transportation process on condition of lack of competitive siding is characterized by the quantity of railway vehicles occupying way and time of its conversion. The amount of service is measured general usage time of siding under technology transactions in freight car-hours of technology transactions and determined by formula:

_Q2 = _N2 * T _2,

where:

_Q2-amount of services in provision of siding for shunting works, loading unloading, other technology transactions of transportation process (freight car-hours of technology transactions);

_N2 - the number of cars which was under technology transactions on siding for settlement period (car);

_T2 - the actual time of stay of one mobile unit under technology transactions on siding (hour). In case of lack of the actual indicators, the average time of stay of one mobile unit under technology transactions on siding is applied (hour).

In cases of lack of data for calculation of average time of stay of mobile unit under technology transactions it is recommended to estimate duration of technology transactions as difference of average time of stay of railway vehicles on sidings without the mobile units accepted for sediment.

101. The amount of services in provision of siding for the parking of railway vehicles is characterized by the quantity of railway vehicles occupying way and time of its parking. The amount is measured general usage time of siding under railway vehicles on sediment in freight car-hours of the parking and determined by formula:

Q3 = N3 * T 3,

where:

Q3 - amount of services in provision of siding for the parking of railway vehicles (parking freight car-hours);

N3 - the number of the cars which staid for settlement period on siding (car);

T3 - time of the parking of each car on siding (hour).

102. When calculating rates for regulated services for base the planned amount of services in provision in use of total quantity of sidings of the subject confirmed with the signed agreements (protocols of intention, settlings) with consumers of these services is accepted.

In case of change of amounts of regulated services, for base the actual amount of the provided regulated services is accepted in four finished quarters preceding application or for the previous calendar year. At the same time, in case of lack of the actual amount of the rendered services in siding, amounts of siding are considered at the level of the number of the cars sent on siding in four finished quarters preceding application or for the previous calendar year.

103. In case of decrease in amounts of the provided regulated services, the subject represents the proving and confirmatory materials (agreements, the protocol of intentions).

104. The tariff income on services of siding in provision in use is calculated by the following formula:

D = Z + P,

where:

D - the tariff income on services in the field of sidings in the absence of competitive siding;

Z - the costs falling on service of siding (tenge);

P - the admissible profit level falling on service of siding (tenge).

105. Forming of costly part of rates consists of three stages:

at the first stage production costs of the subject are determined;

on the second - period expenses;

on third - the expenses carried on services of sidings are distributed on types of service.

106. At the first stage production costs are determined. Production costs on content of siding consist of costs on dispatching servicing of siding, the current content of siding, expenses on repairs of siding and railroad switches, depreciation of sidings and railroad switches, charges and servicing of the vehicles and the equipment involved on servicing of siding.

The costs considered when calculating rates for services of sidings are grouped according to their economic content in the following elements: material costs, labor costs, assignments from the salary fund, the fixed asset depreciation, repair, other costs considered in the project of rate, the tariff estimate, investing program, performance reports of the approved tariff estimate about execution of the approved investing program according to appendix of 1 these rules.

The material expenses included in costly part of rate are determined proceeding from the calculations of requirement of raw materials, materials, fuel, energy (further - material resources) on release of unit of production made on the basis of the standard regulations and standard rates which are existing in the corresponding industry (sphere) (in case of their availability), and the prices of the material resources determined by the actual results of the competitive (tender) purchases made for date of application for approval of rate, according to the procedure, the stipulated in Clause 23 Laws, proceeding from the actual indicators, but not exceeding the standard regulations and standard rates existing in the corresponding industry (sphere) (in case of their availability).

Fuel costs are determined on the basis of expense rates of fuels and lubricants for the state bodies of the Republic of Kazakhstan and maintenance costs of motor transport approved by the order of the Government of the Republic of Kazakhstan of August 11, 2009 No. 1210.

Electricity costs are determined proceeding from consumption rates of the electric power on illumination of siding, factory buildings, for food of electric drives of centralized arrows and taking into account rates.

Expenses on compensation of production and administrative personnel are determined according to these rules.

Labor costs of the personnel occupied with settlings with clients, content, servicing and protection of fixed assets (commodity cashiers, production area cleaners, watchmen, drivers, drivers, slingers) belong to labor costs of support and service personnel.

When forming labor costs the number of the personnel occupied with capital repairs, leading to value addition of fixed assets is not considered.

Costs for payment of assignments from the salary fund of production, support and service personnel are determined according to rates, according to the procedure, established by the tax legislation of the Republic of Kazakhstan.

Fixed asset depreciation is calculated proceeding from their book (initial) value by method of uniform (rectilinear) write-off.

106-1. No. 78 is excluded according to the Order of the Minister of national economy of the Republic of Kazakhstan of 31.10.2022

107. At the second stage of forming of costly part of rate of sidings the expenses of the period of the subject attributable to regulated services of sidings which join in costly part of rate according to these rules are determined.

Period expenses which cannot be carried directly on regulated types of service of the subject are distributed in proportion to the following indicators:

administrative expenses - in proportion to the salary fund of production personnel of the subject;

general running costs - in proportion to production costs on each type of service, provided by the subject;

the taxes and fees (connected with fixed assets), renumeration expenses - in proportion to residual cost of the assets carried on each type of service, provided by the subject.

108. When calculating costs and the sizes of the involved assets included in rates of subjects which sidings service the main activities and are auxiliary service of the company (the company of industrial, mining and chemical, metallurgical complexes) the following assumptions are used:

characteristics of infrastructure of the sidings used both for own needs and for the consumer service delivery are considered as homogeneous;

borders of the sidings providing regulated services are determined by the extent of general part of the sidings used both for own needs and for consumers of services;

the size of the involved assets for calculation of revenues of rates is determined by residual cost of assets of general part of sidings.

109. At the third stage costly part of rates is determined by types of regulated services. Costs are distributed between regulated services of sidings in proportion to predicted on specific weight of amounts, the income, labor costs of production personnel and on the extent of the sidings provided regulated types of service of sidings.

110. The comprehensive income included in rate for services of sidings of the subject is determined on the basis of the cost of the involved assets and rate of profit on regulated base of the involved assets according to these rules.

111. The profit level included in rate is limited taking into account the means necessary for realization of investing program, and the depreciation charges, except for subjects of low power.

112. The general profit by types of regulated services of the subject is determined by summing of profits by types of regulated services for all sidings.

113. Approval of rates for each siding separately or in general on regulated service is allowed.

114. In case of acquisition (construction) by the subject of the sidings which are not continuous part of sidings on which services to the subject the rate is approved the separate rate affirms as the simplified procedure according to Chapter 5 of these rules.

115. The rate for regulated services in the field of sidings in the absence of competitive siding is calculated by the following formula:

T = D/Q,

where:

T - rate for services in provision of sidings (tenge);

D - tariff income of type of service in provision of sidings (tenge);

Q - the predicted (actual) amount of service in provision of sidings.

116. The rate for service in provision of siding for journey of railway vehicles on condition of lack of competitive siding, is established on 1 car-kilometer (further - vagono-km) and the tariff income from the provided service is determined as the work of amount of service on rate:

S1 = T1 * Q 1,

where:

S1 - the tariff income from regulated service in provision of siding for journey of railway vehicles on condition of lack of competitive siding;

T1 - rate for 1 vagono-km;

Q1 - the amount of service in provision of siding for journey of railway vehicles on condition of lack of competitive siding (omission vagono-km on sidings) calculated according to Item 99 of these rules.

The tariff income from regulated service in provision of siding for shunting works, loading unloading, other technology transactions of transportation process is calculated as follows:

S2 = T2 * Q 2,

where:

S2 - the tariff income from regulated service in provision of siding for shunting works, loading unloading, other technology transactions of transportation process (freight car-hours of technology transactions).

T2 - rate for 1 freight car-hour;

Q2 - the amount of services in provision of siding for shunting works, loading unloading, other technology transactions of transportation process (freight car-hours of technology transactions) calculated according to Item 100 of these rules.

The tariff income from regulated service in provision of siding for the parking of railway vehicles is calculated as follows:

S3 = T3 * Q 3,

where:

S3 - the tariff income from regulated service in provision of siding for the parking of railway vehicles (freight car-hours);

T3 - rate for 1 freight car-hour;

Q3 - the amount of services in provision of siding for the parking of railway vehicles (freight car-hours) calculated according to Item 101 of these rules.

Section 10. Features of calculation of rate for regulated services for calling of the vessel seaport for transfer of oil and oil products on pipelines in/from tankers/tankers with the subsequent exit from port (vessel call)

117. The mechanism of calculation of rate for regulated services for calling of the vessel seaport for transfer of oil and oil products on pipelines in/from tankers/tankers with the subsequent exit from port (vessel call) extends to the obligatory services of seaport determined by authorized body in the field of merchant shipping according to Rules of use of the prices (rates) for obligatory services of seaport approved by the order of the Minister of the industry and infrastructure development of the Republic of Kazakhstan of August 1, 2019 No. 602, (it is registered in the Register of state registration of regulatory legal acts No. 19199):

1) ship - provision of entrance of the vessel to seaport and exit from it;

2) navigation - provision of navigation services by navigation aids and communications by means of traffic control systems of courts or coastal radar-tracking systems in case of input and output and navigation of the vessel in the port water area;

3) for pass by the channel - provision of the channel including equipped with means of navigation situation for pass of the vessel to the mooring;

4) mooring - provision of the mooring to courts for implementation of cargo and auxillary operations;

5) anchor - provision of the anchor parking to courts on raid and/or at the mooring;

6) mooring - delivery of the mooring ends of the vessel, otshvartovka, banner and remooring of courts;

7) in the field of nature protection actions - acceptance from the vessel without any limit all types of the available pollution (except for ballast waters) during the parking in port;

8) quarantine - services of sanitary and epidemiologic service and seaport in providing:

provisions of the room for temporary isolation of patients with quarantine infections and faces which can be infection carriers;

maintenance in proper sanitary condition of the territory and objects of seaport;

preventive destruction of rodents and insects by forces of the sanitary and epidemiologic station on delivery vessels, port objects.

118. Rates per unit of regulated services of seaports are created according to calculation of rate according to Section 2 of this paragraph.

The rate for ship services is calculated in case of each entrance and exit from port and is established for each gross-register ton of the vessel.

The rate for navigation services is calculated on one vessel call and is established for each gross-register ton of the vessel.

The rate for pass by the channel is calculated in case of each passing of the channel one way and is established for each gross-register ton of the vessel.

The rate for mooring services is calculated for the parking of the vessel at the mooring under cargo and auxillary operations and is established on each gross-register ton of the vessel and made from the courts which are lying alongside (excepting the raid mooring).

If transaction is performed by option the judgment vessel, fifty percent of rate for mooring services are levied.

Fifty percent of rate for mooring services are levied from the courts standing log to other vessel unmoored at the mooring by nose or stern. The rate for mooring services out of cargo operations is levied for every day of the parking of the vessel at the mooring.

The rate for mooring services out of cargo operations is established for each gross-register ton of the vessel for every day of the parking at the mooring and made from the courts which are lying alongside (excepting the raid mooring).

When calculating the rates charged by the day time is rounded to 0,5 of days, and time to 0,5 of days is accepted to 0,5 of days, and time of more 0,5 of days - in 1 days.

The rate for anchor services is calculated for the parking on internal raid and is established for each gross-register ton of the vessel, irrespective of parking time.

The rate for mooring services is calculated for work of shvartovshchik on delivery of the mooring ends of the vessel, otshvartovka, banner and remooring of courts and is established for one transaction.

The vessel banner along the mooring more than length of the vessel is considered as two transactions, less than length of the vessel - as one transaction. Remooring of the vessel from the mooring to the mooring is considered as two transactions. Delivery of the mooring ends during the mooring and otshvartovka is considered as two transactions. Remooring of the vessel in port during production of cargo works is allowed one time during unloading and loading, and in need of its shift during loading (unloading) because of specialization of transshipment facilities - even on one remooring. All expenses on the additional remoorings made upon the demand of port are born by port.

The rate for nature protection actions is calculated for works on acceptance from the vessel without any limit of all types which are available pollution (except for ballast waters) for all the time of the parking in port, on accomplishment by own efforts of the works connected with production of transactions (giving and cleaning of watercrafts, provision of containers and other reservoirs for collection of garbage, reloading transactions, shlangovka, otshlangovka) and is established for every day of the parking of the vessel in port.

The rate for quarantine services is calculated for provision of the room for temporary isolation of patients with quarantine infections and persons, infection carriers, maintenance in proper sanitary condition of the territory and objects of seaport, preventive destruction of rodents and insects by forces of the sanitary and epidemiologic station on delivery vessels, port objects, and is established for one vessel call.

119. Rates per unit of regulated services of seaports are created on the following stages:

1) determination of costly part of rate:

cost determination, the regulated services of seaports included cost, with disaggregation according to cost items according to these rules;

determination of amounts of works of seaport in natural measurement based on the actual and forecast data by types of the provided services;

determination of cost basis of rates by reasonable cost allocation by types of the provided services;

determination of unit cost of the provided service by division of the received cost basis into amount of the corresponding types of service;

2) forming of revenues of rate taking into account rate arrived to regulated base of the involved assets.

Costly part of rate is determined according to these rules;

120. All costs of seaport are subdivided into direct and indirect costs.

121. The direct costs connected with provision of services for calling of the vessel seaport are the costs connected with operation and the current content respectively:

ship service - hydraulic engineering constructions;

services for pass to channels - channel constructions;

navigation services - navigation equipment;

anchor service - bottom of water areas;

mooring service - moorings and berthing facilities;

mooring service - mooring curbstones;

quarantine service - quarantine rooms;

services of nature protection actions - musorosborshchik and checks.

122. The superimposed production costs connected with provision of regulated services belong on services in proportion to direct costs.

123. Payroll costs of the personnel servicing the main production and support personnel are distributed in proportion specific share of participation of the servicing and auxiliary personnel in provision of services.

124. Expenses on the social tax are determined in proportion to share of the corresponding costs by the salary.

125. Expenses are determined by depreciation of fixed assets of the auxiliary divisions servicing the main production in proportion to share of involvement of fixed assets in provision of regulated services.

126. Overheads of the divisions servicing the main production are distributed on services (works) in proportion to the indicator accepted for depreciation distribution.

127. Total and administrative expenses are determined in proportion to production costs.

128. Expenses on payment of remunerations for borrowed funds for implementation of investment projects are determined by the indicator accepted for distribution of total and administrative expenses. Rewards for the borrowed funds earned in foreign currency are considered in expenses of the period of costly part of rate taking into account the predicted change in the exchange rate of tenge to foreign currency based on the mid-term plan of social and economic development of the Republic of Kazakhstan.

129. Selling expenses are determined by the indicator accepted for distribution of total and administrative expenses.

130. In case of determination of cost of regulated services for the accounting period for calculation of rate for base are accepted the actual amount of the provided regulated services to the accounting period according to data of the statistical reporting and internal accounting.

Paragraph 3. Calculation of rate taking into account the stimulating method of tariff regulation of spheres of natural monopolies

131. This stimulating method is applied to subjects under condition:

1) the expirations of effective periods of the rates approved according to these rules;

2) availability in the market of one industry of two and more subjects (in case of possibility of implementation of comparative analysis);

3) economic and technology readiness of the subject for application of the corresponding method of tariff regulation of the sphere of natural monopoly;

4) non-admissions of assignment on the subject and consumers of impracticable obligations.

The requirements specified in subitems 1) and 2) of this Item do not extend to subjects whose list is determined by authorized body according to the subitem 33) of article 8 of the Law.

132. The rate using the stimulating method of tariff regulation is calculated for a period of five and more years taking into account observance by the subject of indicators of quality and reliability of regulated services and performance indicators of activities of the subject approved by department of authorized body according to Rules of implementation of activities.

Section 1. Calculation of rate taking into account the stimulating method of tariff regulation of spheres of natural monopolies

133. The stimulating method of calculation of rate provides the following stages:

1) assessment of industry H-factor;

2) forming of the list of structural parameters for assessment of individual H-factors;

3) forming of the list of similar subjects;

4) assessment of individual H-factors;

5) the analysis of reliability of the expenses on provision of regulated service declared by the subject for calculation of rate;

6) calculation of profit;

7) calculation of rate of the subject;

8) calculation of the corrected rate taking into account bonuses/penalties (penalties) for observance/non-compliance with indicators of quality and reliability of regulated services and performance indicators of activities of subjects.

For the purpose of realization of the above-stated stages the order of department of authorized body creates Working groups as a part of at least 9 people.

Representatives of authorized body, department of authorized body and other state bodies, National chamber of entrepreneurs of the Republic of Kazakhstan, public associations, associations of subjects of private entrepreneurship, the subject, the consumer, professional independent experts and other interested persons enter into the Working groups.

Proposals of members of the Working groups which are not employees of department of authorized body have advisory nature, are drawn up in writing and introduced in department of authorized body in the form of incoming correspondence.

Decisions at each above-stated stage are made by department of authorized body and (or) its territorial subdivisions based on generalization and discussion of offers of workgroup members and are placed on Internet resource of department of authorized body.

134. For the purpose of implementation of the subitem 1) of Item 133 of these rules (irrespective of receipt of the request of the subject for approval of rate for regulated service) the Working group on assessment industry and the individual H-factors considered in rate, for spheres of natural monopolies (further - the Working group on development of H-factors) according to the procedure, provided by part two Items 133 of these rules is created.

135. The working group on development of X-factors begins work not later than ninety working days before the expiration of the period of action of the approved H-factors.

136. Department of authorized body in thirty calendar days prior to the expiration of the period of action of earlier approved industry and individual H-factors approves new industry and individual H-factors for action - five years in forms according to appendices 2 and 3 to these rules respectively by industries which are placed department of authorized body on the Internet resource.

137. The working group on development of H-factors performs assessment of industry H-factor within forty calendar days from the date of publication of the press release about the beginning of its development in form according to appendix 4 to these rules.

138. The period of action of industry H-factor in five complete calendar years begins:

from period end date of action of earlier approved industry H-factor (in the presence);

from the date determined by department of authorized body.

139. For each industry department of authorized body the single industry H-factor for the every year of the period of its action considered in rates for all regulated services referred to spheres of natural monopolies of this industry according to the list of regulated services approved by authorized body according to the subitem 32) of article 8 of the Law affirms.

140. For the purpose of implementation of the subitem 2) of Item 133 of these rules for the subsequent calculation of individual H-factors the Working group on development of H-factors in time no more than forty calendar days from the date of the publication of the press release about the beginning of their development creates the draft of the list of structural parameters for this regulated service.

141. The working group on development of H-factors creates the initial list of the structural parameters used for assessment of individual H-factors (further - the initial list of structural parameters) which includes the minimum list of the structural parameters used for assessment of individual H-factors on the following regulated services in form, according to appendix 5 to these rules.

142. Department of authorized body according to the State register of subjects creates the list of the subjects providing the same regulated service for which individual H-factors are calculated (further - the list of subjects).

143. Department of authorized body in time no more than seven calendar days from the date of publication of the press release about the beginning of calculation of individual H-factors, sends to the subjects providing regulated service, request for provision of annual historical data of structural parameters for use in case of assessment of individual H-factors of the rates for regulated service in form considered in formula of calculation according to appendix 6 to these rules. Annual historical data in structural parameters are represented by subjects for the period of provision of regulated service, preceding the beginning of development of individual H-factors.

144. Set of the values of each structural parameter from the initial list received from all subjects providing certain regulated service.

145. The working group on development of H-factors taking into account results of calculation of the importance of structural parameters creates the draft of the final list of structural parameters for use in determination of groups of similar subjects and calculation of individual H-factors for form of the initial list of structural parameters, according to appendix 7 to these rules.

146. Department of authorized body within five calendar days from the date of acceptance by the Working group on development of H-factors of the final draft of the list of structural parameters, in form according to appendix 8 to these rules places it on the Internet resource.

147. Duration of historical period of action of the approved structural parameters used in calculation of individual H-factors is similar to duration of the period of action of again approved individual H-factors.

148. For the purpose of implementation of the subitem 3) of Item 133 of these rules for subsequent assessment of the individual H-factors considered when calculating rates for regulated service the Working group on development of H-factors in time no more than thirty calendar days from the date of publication of the list of structural parameters, creates groups of the similar subjects providing this regulated service which data are used for assessment of the individual H-factors considered in calculation of rates for provision of regulated service (further - groups of similar subjects).

149. By results of statistic analysis of analogousness of subjects according to appendix 9 to these rules the Working group on development of H-factors creates the project of groups of similar subjects.

150. Department of authorized body publishes the minutes of the Working group on development of H-factors, the list, the list of subjects and the list of groups of similar subjects on the Internet resource.

151. The list of groups of the similar subjects providing regulated service which data it is used in case of assessment of individual H-factors in form according to appendix 10 to these rules, within five calendar days from the date of its publication on Internet resource affirm the order of department of authorized body.

Department of authorized body places the order on statement of groups of similar subjects on the Internet resource.

152. If at meeting of the Working group on development of H-factors the consolidated opinion will not be made, the decision is made by a majority vote the Working group.

153. For the purpose of implementation of the subitem 4) of Item 133 of these rules the Working group on development of H-factors in time no more than ten calendar days from the date of publication of the authorized body of the list of groups of similar subjects approved by department performs assessment of individual H-factors by subjects and creates the conclusion about results of calculation of individual H-factors in form according to appendix 11 to these rules.

The conclusion of the Working group on development of H-factors is drawn up by the protocol and is placed on Internet resource of department of authorized body.

154. The sizes of individual H-factors by subjects affirm the order department of authorized body no more than seven calendar days after acceptance by the Working group on development of H-factors of the conclusion about results of their calculation in time.

155. As the basis for implementation of subitems 5), 6) and 7) of Item 133 of these rules serves the request of the subject for approval of rate taking into account stimulating tariff setting method submitted by the subject to department of authorized body.

In case of receipt of the request department of authorized body within seven calendar days from the date of its receipt:

creates according to the procedure stipulated in Item 133 these rules the working group on calculation of rate for regulated service of the subject (further - the Working group);

places the press release about the beginning of work on calculation of rate for regulated service of the subject on the Internet resource.

156. The subject when forming the project of rate and the tariff estimate (information on the income and expenses) distributes expenses on controlled and uncontrollable.

157. The following expenses belong to uncontrollable expenses:

1) material expenses on acquisition of strategic goods which list is determined by the legislation on natural monopolies;

2) depreciation charges of fixed assets and intangible assets;

3) expenses on the obligatory types of insurance, taxes, charges and payments determined according to the tax legislation of the Republic of Kazakhstan;

4) the expenses connected with the level of normative technical losses according to calculations of technical losses made on the basis of the standard regulations and standard rates existing in the corresponding industry (sphere).

158. The expenses on provision of regulated service which are not relating to uncontrollable and considered in rate according to these rules belong to controlled expenses of the subject.

Actual expenses of the subject for the five-year period preceding application by the subject according to the performance report of the tariff estimate belong to historical controlled expenses.

159. The working group before calculation of rate in time no more than thirty calendar days from the date of receipt of the request of the subject for approval of rate carries out the analysis of reliability of the expenses on provision of regulated service declared by the subject (further - the expenses declared by the subject) according to the procedure provided by these rules.

160. In case of lack of expenses on which declared amounts are acknowledged statistically doubtful, department of authorized body no later than fourteen calendar days from the date of receipt of the request of the subject for approval of rate:

sends to the subject the non-availability notice of statistically doubtful expenses;

uses in further calculations of rate for regulated service the expenses declared by the subject (further - the expenses recognized by department of authorized body reliable).

161. In case of availability of expenses on which declared amounts are acknowledged statistically doubtful department of authorized body no later than fourteen calendar days from the date of receipt of the request of the subject for approval of rate sends to the subject the list of statistically doubtful expenses which are carried out within statistic analysis in form of 1 list of statistically doubtful expenses of the subject on provision of regulated service by expenditure items and form 2 calculations which is carried out within statistic analysis of reliability of expenses of the subject on provision of regulated service according to appendix 12 to these rules.

162. The subject within fourteen calendar days from the date of receipt of the list of statistically doubtful expenses provides in department of authorized body the following confirmatory these expenditure items documents:

the reporting, represented by the subject to state bodies according to the legislation of the Republic of Kazakhstan on financial accounting and the financial reporting, and also in the field of the state statistics;

decisions of the tender (tender) committees on purchase of material, financial resources, the equipment and services;

agreements of loans (with indication of financing terms, including conditions of payments of remunerations, commission payments);

the decision of body for management of state-owned property or the state company on establishment of the salary fund and official pay rates of heads, their deputies, the chief (seniors) accountants, and also systems of their awarding and other remuneration (for the state companies or the companies with the prevailing share of the state);

protocols of intentions, agreements;

other documents confirming expenditure items (copies of agreements, acts of the performed works, delivery notes, invoices, the item-by-item list of fixed assets and intangible assets with indication of book and residual cost, service life, annual depreciation).

Supporting documents are submitted by the subject with appendix of the explanatory note to each document, in the stitched and strung together type, certified by the signature of the head of the subject, or person replacing it.

163. Department of authorized body within fourteen calendar days from the date of receipt from the subject of supporting documents submits them for consideration of the Working group.

The working group on calculation of individual H-factors, having considered the conclusion of department of authorized body about results of calculation of individual H-factors, within 7 (seven) calendar days from the date of its obtaining accepts one of the following decisions:

about approval of results of individual H-factors by the subjects calculated by department of authorized body;

about approval of the sizes of individual H-factors by the subjects corrected according to offers of workgroup members on calculation of individual H-factors.

Results of consideration by the Working group of reliability of the expenses declared by the subject affirm the protocol in form 3, according to appendix 12 to these rules.

164. The expense amounts recognized as the Working group reliable:

are used by the Working group in further stages of calculation of rate;

within seven calendar days from the date of adoption of the decision by the Working group go to the subject.

165. It is excluded

166. Differentiation of rate for regulated service of the subject is made according to these rules.

167. Department of authorized body along with rate for regulated service approves indicators of quality and reliability of regulated service and performance indicators of activities of subjects according to Rules of implementation of activities.

168. The basis for implementation of the subitem 8) of Item 133 of these rules are the years provided by the subject on annual basis in department of authorized body in time no later than the May 1 following the accounting period, the report on observance of indicators of quality and reliability of regulated services of efficiency and on achievement of performance indicators of activities of subjects on the forms provided in Rules of implementation of activities.

169. Department of authorized body by results of consideration of reports of the subject calculates the size of bonuses/penalties to profit of the subject, and no later than September 1 of the corresponding year sends to the subject the notification on change of rate taking into account:

observance of indicators of quality and reliability of regulated services;

achievements of performance indicators of activities of subjects;

the actual rate of inflation according to Committee of statistics of the Ministry of national economy of the Republic of Kazakhstan (further - KS) according to Methodology of creation of consumer price index, the Acting Chairman of Committee approved by the order according to the statistics the Ministries of national economy of the Republic of Kazakhstan of December 30, 2015 No. 230, (it is registered in the Register of state registration of regulatory legal acts No. 12955).

170. Data on the income, expenses and the subject's rates, and also observance of indicators of quality and reliability of regulated services, the achievements of performance indicators of activities received by it by results of annual monitoring are used by the subject when calculating rates for the years following after accounting year.

171. The subject applies the changed rate for regulated service since January 1 year on December 31 of the year following after the corresponding year.

Section 3. Assessment of industry H-factor

172. The industry H-factor for every year of the period of its action is determined by the following formula:

where:

_Hotr, _n-industry H-factor for every year;

- settlement industry H-factor, according to Item 173 of these rules;

N - the number of years in the period of action of industry H-factor.

173. The settlement industry H-factor is determined by method of index of Tornkvist, way of assessment arithmetic-mean (in five years preceding development of industry H-factor) surplus of factor productivity of industry concerning surplus of factor productivity of economy by formula:

where:

Формула 27-1 к Приказу от 19.11.2019 №90

- settlement industry H-factor;

_Tfpotrt, _t-1 - rate of surplus of factor productivity of industry for year of t by year of t-1, as a percentage, according to Item 174 of these rules;

_Tfpekt, _t-1 - rate of surplus of factor productivity of economy for year of t by year of t-1, as a percentage, according to Item 176 of these rules;

_t0-year of development of industry H-factor;

_Itspekt, _{t - 1} price index of acquisition of industrial goods characterizing the change in price for the material resources acquired by the companies of the Republic of Kazakhstan for engineering procedure, for year of t by year of t-1, determined by data KS, as a percentage. In case of lack of such data in authorized body in the field of the state statistics department of authorized body uses the price index of acquisition of industrial goods characterizing the change in price for the material resources acquired by industrial enterprises of the Republic of Kazakhstan for engineering procedure, for year of t by year of t-1, determined by data KS, as a percentage.

_Itspotrt, _{t - 1} price index of acquisition of industrial goods characterizing the change in price for the material resources acquired by subjects of the Republic of Kazakhstan of the corresponding industry for engineering procedure for year of t by year of t-1, certain KS, as a percentage, in case of lack of such data in KS are used by department of authorized body arithmetic-mean rate of surplus of production and investment expenses of the subjects providing regulated services in spheres of natural monopoly of the corresponding industry for the year of t by year of t-1, as a percentage calculated by formula:

where:

Pzit - the production expenses of the subject of i in year of t on provision of regulated services in spheres of natural monopoly of the corresponding industry determined on the basis of the annual report of the subject of i on expenses, the income and rates for regulated services;

Izit - the investment expenses of the subject of i in year of t considered in the investing program approved by department of authorized body on provision of regulated services in spheres of natural monopoly of the corresponding industry, i determined on the basis of the annual report of the subject on expenses, the income and rates for regulated services;

n - the number of the subjects providing regulated services in spheres of natural monopolies of the corresponding industry.

174. Rate of surplus of factor productivity of industry for year of t by year of t-1 is calculated by formula:

where:

_{Tftotrt, t - 1} - rate of surplus of factor productivity of industry for year of t by year of t-1;

_{Dotr t-}real (in real terms, corrected by leveling of inflation impact, that is expressed in real terms (further - real) the gross domestic product (further - GDP) industries in year of t, in one thousand tenges, determined by the following formula:

where:

- consumer price index for year of t by December of t0 - the 6th years according to KS and according to the Forecast of the social and economic development of the Republic of Kazakhstan approved at meeting of the Government of the Republic of Kazakhstan for the corresponding five-year forecast period, as a percentage. The index is accepted in real terms any other year in the presence of data KS.

_Bottom, _otrt-GDP of industry in current prices in year of t, in one thousand tenges, certain KS and according to the Forecast of the social and economic development of the Republic of Kazakhstan approved at meeting of the Government of the Republic of Kazakhstan for the corresponding five-year forecast period. In case of lack of data KS on GDP of industry in year of t department of authorized body uses the amount of the income of subjects in year of t providing regulated services in spheres of natural monopoly of the corresponding industry:

where:

_Dsubti-the income of the subject of i in year of t providing regulated services in spheres of natural monopoly of the corresponding industry, one thousand tenges;

_Kotrt-the actual cost of fixed assets in industry in year of t determined by the following formula:

where:

_{Kn, otrt-}the cost of fixed assets in industry in current prices in year of t, in one thousand tenges determined by data KS. In case of lack of data KS on the cost of fixed assets in industry department of authorized body uses the amount of cost of fixed assets of subjects in year of t providing regulated services in spheres of natural monopoly of the corresponding industry:

where:

_Ksubti-the cost of fixed assets of the subject of i in year of t providing regulated services in spheres of natural monopoly of the corresponding industry, one thousand tenges;

_Totrt-the number of the fulfilled hours on one person in the corresponding industry in year of t, in the hours/person, determined by data KS;

_Sotrkt - the share of expenses on acquisition of fixed assets in the total amount of the income of industry in year of t determined by the following formula:

_{Sotrl, t-}the share of expenses on compensation in the total amount of the income of industry in year of t determined by the following formula:

where:

Zpotrt - the annual average salary in industry in year of t determined by data KS in the tenge/person;

Kzotrt - quantity of t occupied in industry in year, determined by data KS, in one thousand people.

175. For the purpose of simplification assessment of rate of surplus of factor productivity of industry for year of t by year of t-1 is performed by department of authorized body in log - linear form on formula:

where:

_{tfpotr t, t} - 1 - assessment of rate of surplus of factor productivity of industry for year of t by year of t-1.

176. Rate of surplus of factor productivity of economy for year of t by year of t-1 is calculated by formula:

where:

TFTEK t, t - 1 - rate of surplus of factor productivity of economy for year of t by year of t-1;

Dek t - real GDP of economy in year of t, in one thousand tenges, determined by the following formula:

where:

_Bottom, _{ek t} - GDP of economy in current prices in year of t, in one thousand tenges, determined by data KS and according to the Forecast of the social and economic development of the Republic of Kazakhstan approved at meeting of the Government of the Republic of Kazakhstan for the corresponding five-year forecast period.

_Kekt-the actual cost of fixed assets in economy in year of t determined by the following formula:

where:

Knom.Ekt - the cost of fixed assets in economy in current prices in year of t, in one thousand tenges determined by data KS;

Tekt - the number of the fulfilled hours on one person in economy in year of t, in the h/persons, determined by data KS;

Sek, kt - the share of expenses on acquisition of fixed assets in the total amount of the income of economy in year of t determined by the following formula:

Sekl, t - the share of expenses on compensation in the total amount of the income of economy in year of t determined by the following formula:

where:

Zpekt - the annual average salary in economy in year of t determined by data KS in the tenge/person;

Kzekt - quantity of t occupied in economy in year, determined by data KS, in one thousand people.

177. For the purpose of simplification of assessment of rate of surplus of factor productivity of economy for year of t by year of t-1 it is performed by department of authorized body in log - linear form:

where:

_{tfpek t}, _{t - 1} - assessment of rate of surplus of factor productivity of economy for year of t by year of t-1.

Section 4. Forming of the list of structural parameters for assessment of individual H-factors

178. The subject when forming values of structural parameters uses the following sources of information:

1) technical data sheets of the equipment;

2) acts of the state inspection and (or) acceptance acts (input) of objects in operation.

179. The subject within fourteen calendar days from the date of receipt of the draft of the initial list of structural parameters provides required information in department of authorized body.

180. The subject providing regulated service provides in department of authorized body of the offer on amendment and (or) exception of any structural parameters of the draft of the initial list.

181. In case of obtaining from subjects of offers on amendment of the draft of the initial list new structural parameters department of authorized body will organize the additional charge at all subjects providing the corresponding regulated service, values on the structural parameters offered by subjects.

If any structural parameter is absent at more than ten percent of subjects, this structural parameter is not included in the final list.

182. Department of authorized body creates the initial list of structural parameters which includes:

1) structural parameters from the draft of the initial list, except for those which exception is offered more than fifty percent of subjects;

2) the structural parameters offered by subjects (in the presence);

3) the initial list includes at least three, but no more than ten structural parameters.

183. From the initial list of structural parameters department of authorized body by carrying out the analysis statistically significant structural parameters are allocated.

184. Set of the values of each structural parameter s from the initial list received from all subjects providing certain regulated service is created in the form of matrix:

where:

X - matrix logarifmirovanny (on natural logarithm) values of structural parameters;

Формула 47-1 к Приказу от 19.11.2019 №90

- logarifmirovanny value of structural parameter s for year of t according to the subject of i;

i [1; I] - the subject's identifier, I - the number of the subjects providing regulated service;

t [1; T] - the identifier of year, T - the smallest period of the provision of regulated service in all subjects preceding development of individual H-factors, 1 - the first year of this period;

s [1; S] - the identifier of structural parameter, S - the number of structural parameters;

1S - single vector of dimension of S.

Matrix of set of the expenses on provision of regulated service controlled by the subject:

where:

Y - matrix of logarifmirovanny real controlled expenses on provision of regulated service;

_Uit-the amount of logarifmirovanny real controlled expenses on provision of regulated service for year of t according to the subject of i received by multiplication of nominal controlled expenses for year of t on.

185. For the purpose of assessment of statistical certainty of structural parameters within the regression analysis department of authorized body:

from regression (dependence between controlled expenses of the subjects providing regulated service, (Y) and structural parameters (X))

_Uit = Xita + eit

or in matrix type of Y = Xa + e,

where:

_eit-statistics "regression assessment error" for the subject of i in year of t, with population mean equal to zero and identical dispersion;

a = (^1,..., ^as)" - vector of the coefficients of regression determining communication of controlled expenses of Y with each of the structural Xs parameters by method of the smallest squares calculates values of the following statistics:

estimates of vector of coefficients of regression of a = (^1,..., ^as)" by structural parameters on the following formula:

a = (X" X)^{-1 X}" Y;

standard deviations for vector of coefficients of regression of sa = (s1a,…, ssa) by structural parameters on the following formula:

t-criteria (Styyudenta) for each coefficient of regression on the following formula:

coefficient of determination of R2 on the following formula:

^R2 = a "M a,

F-criterion (Fischer) on the following formula:

reveals statistically insignificant structural parameters which absolute values of t-criteria for coefficients of regression meet the following condition:

where:

- tabular value of t-criterion (Styyudent);

Формула О к Приказу от 19.11.2019 №90 (1-) - the probability (Styyudent's criterion) with which structural parameter is recognized statistically insignificant is determined by department of authorized body at the level of 90%;

in case of availability of insignificant structural parameters excludes from the regression specified in this Item of Rules, data of one of them on all subjects of I for the entire period T that is:

where:

also reveals statistically insignificant structural parameters for this regression according to the algorithm provided by this Item of Rules;

in case of absence estimates F-criterion (Fischer) according to the following condition at regressions of statistically insignificant structural parameters:

where:

- tabular value of F-criterion (Fischer) with degrees of freedom of S and IT-I-S;

Формула О к Приказу от 19.11.2019 №90 (1-) - the probability (Fischer's criterion) with which structural parameter is recognized statistically insignificant is determined by department of authorized body at the level of 95%;

that regression is recognized statistically significant and all structural parameters of this regression - statistically significant and are used in the further analysis according to individual H-factors, including the choice of similar subjects;

that data of all structural parameters for all subjects of I for the period T consistently are (one by one) excluded from regression and the steps specified in this Item of Rules are performed.

186. If the exception of these all structural parameters of regression did not lead to identification of statistically significant structural parameters, statistically significant are recognized and used in the further analysis according to individual H-factors structural parameters of regression with the greatest value of F-criterion.

Section 5. Forming of the list of similar subjects

187. For the purpose of forming of groups of similar subjects department of authorized body performs statistic analysis of analogousness of the subjects providing regulated service.

188. Values of structural parameters from the approved list:

where:

X - matrix logarifmirovanny (on natural logarithm) values of structural parameters from the approved list;

i [1; I] - the subject's identifier, I - the number of the subjects providing regulated service;

t [1; T] - the identifier of year, T - the smallest period of the provision of regulated service in all subjects preceding development of individual H-factors, 1 - the first year of this period;

S" - the number of structural parameters in the approved list.

Real controlled expenses on provision of regulated service:

where:

Y - matrix of logarifmirovanny real controlled expenses on provision of regulated service;

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